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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-06 |
| TX | RA | APPROVED_RES | 2020-05-28 |
Branch Locations
1880 Santa Barbara Avenue Suite 220, San Luis Obispo, CA 93401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 06/2005 | 09/2017 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 09/2017 |
| The Thom Group | San Luis Obispo | CA | 07/2013 | Present |
| Independent Financial Group | San Luis Obispo | CA | 09/2017 | Present |
(1) THE THOM GROUP POSITION: Employee NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2001 ADDRESS: 1457 Marsh Street #200, San Luis Obispo CA 93401, United States DESCRIPTION: REGISTERED REPRESENTATIVE OF DBA USED FOR MARKETING PURPOSES (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2003 ADDRESS: 1457 Marsh Street #200, San Luis Obispo CA 93401, United States DESCRIPTION: Insurance agent offering various types of insurance products
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-22 |
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