Dan Thomas CRCP

Supporter
DISC Type : s

Compliance Specialist at PAG

San Diego, California, United States

Overview

Dan Thomas is a Financial Services Compliance Professional with a CRCP designation, specializing in Broker/Dealer and Investment Advisor compliance. His career includes roles such as Chief Compliance Officer at Independent Financial Group and his current position as a Compliance Specialist at PAG, showcasing his deep industry expertise.

He maintains a keen interest in staying current with global events and business insights, following publications like BBC News and the Harvard Business Review to inform his professional perspective.

Dan actively tracks and shares crucial updates from regulatory bodies, such as the SECs latest FAQs on the Marketing Rule.

Personality Overview

Risk-averse

Slow To Decisions

Procedural

They are good and approachable with everyone, internally and externally.  They usually go by the book, following all rules and procedures. They are unlikely to become strong champions as they don't prefer pushing other people.

Topics They Care About

SEC Marketing Rule
He frequently shares and analyzes the latest SEC guidance and FAQs related to the new Marketing Rule, indicating a strong focus on advertising compliance for advisers.
Regulatory Oversight
Demonstrates a keen interest in annual reports from regulatory bodies, such as FINRA's 2026 Annual Regulatory Oversight Report, to stay ahead of compliance trends.
Investment Adviser Compliance
His career focus and shared content revolve around compliance for Investment Advisers (IA) and RIAs, including SEC examination priorities and regulatory changes.

Media Appearances

Dan has no verified media appearances

Work History

3-2024
Compliance Specialist at PAG
6-2021 - 9-2023
Chief Compliance Officer at Independent Financial Group, LLC
12-2018 - 6-2021
Director, Compliance at Independent Financial Group, LLC
7-2011 - 4-2018
Senior Analyst, Marketing Regulatory Review at LPL Financial
Director of Operations / CCO at Stonehurst Securities

Education

Education details unavailable from The Wharton School

More Information

Social Presence :

Prographics :

Exp : 13 Location : San Diego, California, United States Job Level : Junior Designation : Compliance Specialist at PAG
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Insights For Selling To Dan

During A Call Or A Meeting

DO's

  • Show willingness to accommodating their needs or requests
  • If possible, connect them to existing customers
  • Talk about refund and cancellation policy if the need arises

DONT's

  • Don’t keep pushing them for a straight answer, just make your own conclusions
  • Don’t rush them to make quick decisions
  • Avoid saying anything that sounds like a risky proposition

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Dan is

  • Low risk, approval of other stakeholders and successful process-based evaluation are most important for them.
  • Will you ever get a clear answer from Dan

  • They don’t say no very often, and can take you around in circles sometimes.

Insights For Deal Planning

    How fast (or slow) will Dan move?

  • They do not like to rush, so they could be slow in making decisions.
  • Can Dan take some risk or not?

  • They are risk-averse and like to make decisions that others support.

You And Dan

Personality Compatibility


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