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Jeffrey Springgate

Edward Jones

Ojai, CA

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-04-23
CA RA APPROVED 2017-06-16
  • TX RA
    APPROVED_RES
    Since 2021-04-23
  • CA RA
    APPROVED
    Since 2017-06-16

Branch Locations

530 W Ojai Ave Ste 101, Ojai, CA 93023-0000 • 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
Thrivent Investmentment Management Inc Newbury Park CA 06/2014 06/2017
Thrivent Financial Appleton WI 06/2014 06/2017
Edward Jones St. Louis MO 06/2017 Present
  • 06/2014 → 06/2017
    Thrivent Investmentment Management Inc
    Newbury Park, CA
  • 06/2014 → 06/2017
    Thrivent Financial
    Appleton, WI
  • 06/2017 → Present
    St. Louis, MO
Previous Registrations
  • 2014-06-09 → 2017-06-05
    Thousand Oaks, CA
    Pismo Beach, CA
    Santa Barbara, CA
    Thousand Oaks, CA
  • 2008-09-09 → 2013-06-07
    Msi Financial Services, Inc.
    Woodland Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-02
S63 Uniform Securities Agent State Law Examination 2007-04-30
  • S65 Uniform Investment Adviser Law Examination
    2008-09-02
  • S63 Uniform Securities Agent State Law Examination
    2007-04-30
Other Names
  • Jeffrey Thomas Springgate

View on SEC IAPD

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