Caleb Dean Thomas

Investment Adviser Representative at ONEASCENT FINANCIAL SERVICES LLC

Crystal Lake, ILCRD #7219814Investment Adviser Rep

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

6 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 1 states

Illinois

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 2/13/2024

Series 63

Uniform Securities Agent State Law Examination

Passed 3/5/2020

Series 6TO

Investment Company Products/Variable Contracts Representative Examination

Passed 2/21/2020

SIE

Securities Industry Essentials Examination

Passed 2/7/2020

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

ONEASCENT FINANCIAL SERVICES LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PURSHE KAPLAN STERLING INVESTMENTSCurrent

5/19/2023 – Crystal Lake, IL

J.P. MORGAN SECURITIES LLC

2/21/2020 – 11/21/2022HUNTLEY, IL

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Caleb Dean Thomas has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.