Laura Thomas has been an investment adviser representative at Individual Asset Management since March 2017, and is not listed among the firm’s executive officers or direct owners.
Individual Asset Management, Inc is a San Mateo, CA firm with $173M under management, 190 clients and 5 advisers in one office, as of its March 2026 filing.
- – present · 9 yearsMenlo Park, CA · Adviser representative · Firm CRD 123418
Investment adviser representative registrations
Laura Thomas is registered as an investment adviser representative in California, since March 2017.
- CaliforniaSince 30 March 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 13 March 2000 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 22 February 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 May 1996 |
| Series 7 | General Securities Representative Examination | 8 May 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Laura B Thomas
- CRD
- 2591461
- Firm
- Individual Asset Management · CRD 123418
- Office
- 750 Menlo Avenue, Suite #200, Menlo Park, CA 94025
- Registration
- Investment adviser registration
- In the industry since
- March 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Laura Thomas work?
Laura Thomas is an investment adviser representative registered through Individual Asset Management, Inc since March 2017, and is not listed among the firm’s executive officers or direct owners.
Is Laura Thomas a financial advisor?
Yes. Laura Thomas has a current investment-adviser registration in California, through Individual Asset Management since March 2017.
How many years of experience does Laura Thomas have?
Laura Thomas has 9 years in the financial industry, since March 2017, across 1 adviser firm.
What exams has Laura Thomas passed?
Laura Thomas has passed 4 licensing exams: the Series 7, Series 63, Series 9 and Series 10. The earliest, the Series 7, was passed in May 1996. FINRA credited Laura Thomas with the SIE, which began in October 2018.
Where is Laura Thomas based?
Laura Thomas’ registered office is in Menlo Park, CA.
Is Laura Thomas registered with FINRA?
No. Laura Thomas has no current broker registration.
How can I verify Laura Thomas’ record?
Search CRD 2591461 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Laura Thomas’ full registration record.