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Stephen Thomas

Indexperts, LLC
38 Years of Experience
Charlotte, NC
5 DisclosuresBroker
View SEC Summary
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Stephen Thomas is a registered investment advisor at Indexperts, LLC, based in Charlotte, NC, with 38 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 3 clients with $100M in assets under management.

Indexperts, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
3 advisors
IM Fee
Planning only
Assets Under Management
$100.9M

Location

516 North Tryon Street, Charlotte, NC, 28202

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2010
Settled
Customer Dispute
April 2010
Settled
Customer Dispute
May 2001
Denied
Customer Dispute
October 2000
Settled
Employment Separation After Allegations
June 1995
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen owns multiple commercial rental properties and SLT Properties, a holding company for real estate. He is also the founder of Linden Thomas Advisory Services LLC and Indexperts LLC, both registered investment advisers, dedicating nearly full-time hours to Linden Thomas Advisory Services.

Employment History
Current Registrations
Indexperts, LLC
August 2021 - Present · 5 yrs 2 mos
Linden Thomas Advisory Services, LLC
June 2018 - Present · 8 yrs 4 mos
Linden Thomas and Company Securities, LLCBroker
May 2018 - Present · 8 yrs 5 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
March 2005 - June 2018 · 13 yrs 3 mos
Wells Fargo Advisors Financial Network, LLC
March 2005 - June 2018 · 13 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
February 2001 - March 2005 · 4 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2001 - March 2005 · 4 yrs 1 mo
Prudential Securities IncorporatedBroker
July 1995 - February 2001 · 5 yrs 7 mos
Smith Barney INC.Broker
July 1993 - July 1995 · 2 yrs
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
February 1988 - April 1988 · 2 mos
State Registrations43 states
ALARAZCACOCTDCDEFLGAIAILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNYOHOKORPASCSDTNTXUTVAVTWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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