Chief Compliance Officer · Vanderbilt Advisory Services
Michelle D. Thomas
CRD 2210435 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Vanderbilt Advisory Services, an SEC-registered wealth manager based in Woodbury, NY with $2.1 billion in regulatory assets, lists Michelle D. Thomas on its Form ADV as Chief Compliance Officer. The SEC filings also name Michelle at 1 other registered adviser.
Firms and roles
- Vanderbilt Advisory ServicesChief Compliance OfficerWealth manager · Woodbury, NY · $2.1B in regulatory assets
- Consolidated Portfolio Review CorpChief Compliance OfficerWealth manager · Woodbury, NY · $1.6B in regulatory assets
AtlasMembers
Michelle’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2013 (13 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Michelle’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Stephen A. DistanteCEO, Vanderbilt Advisory Services
- Jr D. AntenorChief Operations Officer, Vanderbilt Advisory Services
- Joseph J. TrifilettiPresident, Vanderbilt Advisory Services
- Megan L. PlappChief Financial Officer, Vanderbilt Advisory Services
- Steven M. HoweDirector of Business Development, Vanderbilt Advisory Services
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Michelle’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.