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Gifford Leon Tompkins

The Tides Group

La Jolla, CA

CRD 1810716

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Employer firm

The Tides Group CRD 310110

$2.20M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
The Tides Group

2255 Avenida De La Playa Suite 3, La Jolla, CA 92037 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-11-13
  • CA RA
    APPROVED
    Since 2020-11-13

Branch Locations

2255 Avenida De La Playa Suite 3, La Jolla, CA 92037 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
World Vision International Monrovia CA 04/2014 06/2021
The Tides Group La Jolla CA 11/2018 Present
  • 04/2014 → 06/2021
    World Vision International
    Monrovia, CA
  • 11/2018 → Present
    La Jolla, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-09-07
S63 Uniform Securities Agent State Law Examination 1988-04-04
  • S65 Uniform Investment Adviser Law Examination
    2020-09-07
  • S63 Uniform Securities Agent State Law Examination
    1988-04-04
Other Names
  • Leon Tompkins

View on SEC IAPD

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