Dan Thomas

Compliance Specialist

Dan Thomas is a Compliance Specialist at Private Advisor Group. In this role, he acts as an OSJ Delegate. His main responsibilities are reviewing Advertising and other various tasks. He brings over 25 years of industry experience to the team.

Prior to joining Private Advisor Group, Dan was the Chief Compliance Officer at another Financial Organization and has held other positions from Financial Advisor to Branch Manager to Manager, Business Development.

Dan earned a Bachelor of Science, Business Management degree from Western Governors University. The Certified Regulatory Compliance Professional (CRCP®) from The Wharton Business School, University of Pennsylvania, FINRA Institute. He holds FINRA series SIE, 4, 7, 24, 53, 63, and 65 securities registrations.

Dan lives in the San Diego aera with his wife and two children. He is an animal lover and regularly donates to local animal shelters in his community. Outside work he enjoys playing basketball and watching a variety of sports.