LINDEN THOMAS ADVISORY SERVICES, LLC of CHARLOTTE, NC is an SEC-registered investment adviser (CRD 288557). Regulatory assets under management: $1.8B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Patti Sue Almanza | CHIEF COMPLIANCE OFFICER | — |
| Stephen Linden Thomas | MANAGER; MEMBER | — |
| David Leon Smith | CHIEF COMPLIANCE OFFICER | — |
| HUNT DAVID LEE | CHIEF COMPLIANCE OFFICER | — |
| ROBERTS DANIEL ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| THOMAS STEPHEN LINDEN | MANAGER; MANAGER, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER (+1 more) | — |
| BERGMANN OLIVER ANDREAS | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | THE SEC ALLEGED THAT LTAS DID NOT HAVE POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE PERFORMANCE WAS RELEVANT TO THE INTENDED AUDIENCE WHEN DISSEMINATING ADVERTISEMENTS USING HYPOTHETICAL PERFORMANCE, IN VIOLATION OF THE APPLICABLE MARKETING RULE. | Final | $135K |