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Daria V Thomas

Fuller Investment Management Company

Pasadena, CA

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Current Employers
Fuller Investment Management Company

135 North Oakland Avenue, Pasadena, CA 91182 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-05-31
  • CA RA
    APPROVED
    Since 2024-05-31

Branch Locations

135 North Oakland Avenue, Pasadena, CA 91182 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Southern California Public Radio Pasadena CA 02/2016 11/2017
The Music Center Los Angeles CA 02/2018 07/2019
The Fuller Foundation Pasadena CA 07/2019 Present
Fuller Investment Management Company Pasadena CA 05/2024 Present
  • 02/2016 → 11/2017
    Southern California Public Radio
    Pasadena, CA
  • 02/2018 → 07/2019
    The Music Center
    Los Angeles, CA
  • 07/2019 → Present
    The Fuller Foundation
    Pasadena, CA
  • 05/2024 → Present
    Fuller Investment Management Company
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-16
S66 Uniform Combined State Law Examination 2003-03-25
S63 Uniform Securities Agent State Law Examination 1999-12-01
  • S65 Uniform Investment Adviser Law Examination
    2024-05-16
  • S66 Uniform Combined State Law Examination
    2003-03-25
  • S63 Uniform Securities Agent State Law Examination
    1999-12-01
Other Names
  • Daria V Sergeeva
  • Dana V Chaffin
  • Daria V Chaffin

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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U.S. BANCORP ADVISORS, LLC · Pasadena, CA
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