Thomas Staley has been an investment adviser representative at Maia Wealth since February 2026, and is not listed among the firm’s executive officers or direct owners.
Maia Wealth, LLC is a Denver, CO firm with $973M under management, 2,148 clients and 36 advisers across 9 offices, as of its May 2026 filing.
Thomas Staley’s longest registration was 11 years at J.P. Morgan Securities LLC (2015–2026). Before joining Maia Wealth in 2026, Thomas Staley was registered through J.P. Morgan Securities LLC and Schwab Private Client Investment Advisory, Inc.
- Simplicity WealthAlso current– present · under a yearIndianapolis, IN · Adviser representative · Firm CRD 300572
- Maia WealthCurrent– present · under a yearIndianapolis, IN · Adviser representative · Firm CRD 292817
- J.P. Morgan Securities LLC– · 11 yearsWestfield, IN · Adviser representative · Firm CRD 79
- Schwab Private Client Investment Advisory, Inc.– · 3 yearsIndianapolis, IN · Adviser representative · Firm CRD 159035
- Charles Schwab & Co., Inc.– · 2 yearsIndianapolis, IN · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Thomas Staley is registered as an investment adviser representative in Indiana, since February 2026.
- IndianaSince 6 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 11 April 2014 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 12 December 2013 |
| Series 66 | Uniform Combined State Law Examination | 14 August 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 July 2006 |
| Series 7 | General Securities Representative Examination | 16 June 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Lee Staley
- CRD
- 5148647
- Firm
- Maia Wealth · CRD 292817
- Office
- 9365 COUNSELORS ROW, SUITE 215, Indianapolis, IN 46240
- Registration
- Investment adviser registration
- In the industry since
- June 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Staley work?
Thomas Staley is an investment adviser representative registered through Maia Wealth, LLC since February 2026, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Staley a financial advisor?
Yes. Thomas Staley has a current investment-adviser registration in Indiana, through Maia Wealth since February 2026.
How many years of experience does Thomas Staley have?
Thomas Staley has 20 years in the financial industry, since June 2006, across 5 adviser firms.
What exams has Thomas Staley passed?
Thomas Staley has passed 5 licensing exams: the Series 7, Series 63, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in June 2006. FINRA credited Thomas Staley with the SIE, which began in October 2018.
Where did Thomas Staley work before Maia Wealth?
Before Maia Wealth, Thomas Staley was registered through Schwab Private Client Investment Advisory, Inc., January 2012 to February 2015; Charles Schwab & Co., Inc., August 2009 to December 2011.
Where is Thomas Staley based?
Thomas Staley’s registered office is in Indianapolis, IN.
Is Thomas Staley registered with FINRA?
No. Thomas Staley has no current broker registration.
How can I verify Thomas Staley’s record?
Search CRD 5148647 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Staley’s full registration record.