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Steven James Thomas

SGL Financial, LLC

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About Steven James Thomas

Steven James Thomas is a financial advisor with SGL Financial, LLC, a registered investment advisor headquartered in Buffalo Grove, Illinois. Steven has over 30 years of experience in the financial services industry. He has a strong understanding of financial planning, investment management, and retirement planning. Steven is committed to helping his clients achieve their financial goals.

Firm Information

Steven Thomas is currently registered with SGL Financial, LLC. SGL Financial, LLC is a registered investment advisor based in BUFFALO GROVE, IL with 15 licensed agents and 16 investment advisor representatives. They manage approximately $214,042,234 in assets for 1,524 clients. The firm provides financial planning, educational seminars, and publication of periodicals. They also offer portfolio management for individuals and selection of other advisors. The firm's clientele includes high-net-worth individuals, individuals other than high-net-worth, and pension and profit-sharing plans.
SGL Financial, LLC

1130 W LAKE COOK ROAD

BUFFALO GROVE, IL 60089

$214.04M

Assets Under Management

Not reported

Total Clients

13

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Steven Thomas’s Registration & Firm History

IL

01/09/2015 - Present

SGL Financial, LLC (BUFFALO GROVE IL)

SD

05/03/2000 - 12/05/2003

VARIABLE INVESTMENT ADVISORS, INC. (TEA SD)

GA

07/11/1984 - 06/23/1998

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

BC

Issued 07/09/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/1986

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 07/09/1984

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Steven James Thomas. Review regulatory record here.
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