Rose Thomas
Rose M. Thomas is a co-owner, Managing Member and CEO of RTA Analysis, LLC. She is an expert in the field of Investment Program research and analysis and, from 2008 through 2010, Ms Thomas provided consulting services to various industry participants and operated RTA Investment Research Training. She was also an independent contractor analyst for RTA Financial Analysis, LLC during 2010.
From 1988 through 2007, Ms Thomas was an owner, President and Chairman of the Board of Rose Thomas & Associates, Inc., with primary responsibility for regulatory, legal and industry research in addition to program structure analysis. Prior to co-founding Rose Thomas & Associates, Ms Thomas was employed by Anchor National Financial Services (predecessor to AIG Financial Advisors, now SagePoint Financial) from 1979 to 1988. As Anchor’s Second Vice President, Due Diligence Director, she managed a team of analysts and had primary responsibility for selecting Investment Programs offered by the firm.
Since 1986, Ms Thomas has testified as an expert in numerous securities litigation cases, in addition to NASD/FINRA and AAA arbitrations. In other cases, she has been contracted by legal counsel to provide consultation services related to legal or regulatory action. Ms Thomas also served the Arizona Attorney General as a securities expert.
Ms Thomas received her Bachelor of Science, Business Administration degree from the University of Phoenix. In 1982, she became a General Securities Representative and General Securities Principal. She also successfully completed the Certified Financial Planner program and parts of the Chartered Financial Analyst program.
Ms Thomas is actively involved in many industry-related activities and is a frequent speaker at various national industry conferences. For many years, she functioned as a due diligence advisor to the Investment Program Association (IPA), for which she developed the Direct Investment Sponsor Questionnaire (DISQ). From 1994 through 1997, she was a member of the national Financial Products Advisory Council of the International Association for Financial Planning (IAFP), predecessor to the Financial Planning Association (FPA). Ms Thomas was Chairman of the Council’s predecessor, the Due Diligence Committee, from its inception in 1985 through 1987. She led a task force of the Committee that was responsible for the creation of the Standardized Sponsor Information Questionnaire (SIQ), the first step toward bringing consistency and standardization to the profession of due diligence. Ms Thomas was twice named by Investment Advisor Magazine to the Due Diligence All-Star Team.