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Michael Thomas

Forge Securities LLC

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About Michael Thomas

Michael Thomas is a financial professional with over 10 years of experience in the financial services industry. Michael is currently registered with Forge Securities LLC and is a licensed Series 66, 14, 27, 24, 9, 10, 99TO and SIE. Michael has previously worked at J.P. Morgan Securities LLC, Wells Fargo Securities, LLC, and Charles Schwab & Co., Inc. Michael is based in San Francisco, CA.

Firm Information

Michael Thomas is currently registered with Forge Securities LLC. Forge Securities LLC is a Limited Liability Company formed in June 2021. The firm is registered with the SEC and is licensed to operate in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

44

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Thomas’s Registration & Firm History

CA

03/30/2022 - Present

Forge Securities LLC (SAN FRANCISCO CA)

CA

06/17/2015 - 03/26/2022

J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)

NC

01/09/2015 - 06/12/2015

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

CA

02/08/2013 - 01/14/2015

CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 07/03/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/07/2023

Series 14 - Compliance Officer Examination

BC

Issued 02/06/2023

Series 27 - Financial and Operations Principal Examination

BC

Issued 07/09/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/30/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/18/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Thomas.
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