Michael Thomas has been an investment adviser representative at RLB Financial since September 2018, and is not listed among the firm’s executive officers or direct owners.
RLB Financial LLC is a Springfield, MO firm with $174M under management, 607 clients and 3 advisers across 2 offices, as of its March 2026 filing.
Michael Thomas’ longest registration is the current one, 8 years at RLB Financial since 2018. Before joining RLB Financial in 2018, Michael Thomas was registered through 1st Global Advisors Inc.
- 1st Global Advisors Inc– · 2 yearsWoodland Hills, CA · Adviser representative · Firm CRD 111133
Investment adviser representative registrations
Michael Thomas is registered as an investment adviser representative in California, since September 2018.
- CaliforniaSince 18 September 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 September 2015 |
| Series 7 | General Securities Representative Examination | 10 August 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Jacob Thomas
- CRD
- 6483975
- Firm
- RLB Financial · CRD 151778
- Office
- 1547 Palma Drive, Ventura, CA 93003
- Registration
- Investment adviser registration
- In the industry since
- August 2015
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Thomas work?
Michael Thomas is an investment adviser representative registered through RLB Financial LLC since September 2018, and is not listed among the firm’s executive officers or direct owners.
Is Michael Thomas a financial advisor?
Yes. Michael Thomas has a current investment-adviser registration in California, through RLB Financial since September 2018.
How many years of experience does Michael Thomas have?
Michael Thomas has 11 years in the financial industry, since August 2015, across 2 adviser firms.
What exams has Michael Thomas passed?
Michael Thomas has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2015. FINRA credited Michael Thomas with the SIE, which began in October 2018.
Where did Michael Thomas work before RLB Financial?
Before RLB Financial, Michael Thomas was registered through 1st Global Advisors Inc, September 2015 to September 2018.
Where is Michael Thomas based?
Michael Thomas’ registered office is in Ventura, CA.
Is Michael Thomas registered with FINRA?
No. Michael Thomas has no current broker registration.
How can I verify Michael Thomas’ record?
Search CRD 6483975 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Thomas’ full registration record.