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Current Employers
T&T Capital Management

Gilbert, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-03-24
  • CA RA
    APPROVED
    Since 2017-03-24

Branch Locations

Gilbert, AZ • United States

Ladera Ranch, CA • 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
Kingsview Asset Management Chicago IL 06/2015 03/2017
Kingsview Llc Chicago IL 11/2014 05/2017
T&T Capital Management Gilbert AZ 03/2017 Present
Three Lakes Advisors Ladera Ranch CA 04/2017 Present
Vault Metal El Secgundo CA 06/2023 08/2023
American Hartford Gold Los Angeles CA 11/2023 08/2025
  • 06/2015 → 03/2017
    Kingsview Asset Management
    Chicago, IL
  • 11/2014 → 05/2017
    Kingsview Llc
    Chicago, IL
  • 03/2017 → Present
    Gilbert, AZ
  • 04/2017 → Present
    Three Lakes Advisors
    Ladera Ranch, CA
  • 06/2023 → 08/2023
    Vault Metal
    El Secgundo, CA
  • 11/2023 → 08/2025
    American Hartford Gold
    Los Angeles, CA
Previous Registrations
Other Businesses

1. MARCH 2017: Independent Insurance Agent: Non-Investment related; Same as branch address; Provide access to insurance planning strategies; 30 hours per month primarily after market hours. 2. APRIL 2017: Three Lakes Advisors; Branch Manager / Associated Person of an Introducing Broker; Investment Related; 8 Stavely Ct, Ladera Ranch, CA 92694; 40 hours per month both during market and after market hours. Day to day operations, CTA selection process

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-08
  • S65 Uniform Investment Adviser Law Examination
    2015-06-08

View on SEC IAPD

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