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27441 Tourney Road Suite 260, Valencia, CA 91355 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-03-30 |
Branch Locations
27441 Tourney Road Suite 260, Valencia, CA 91355 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tmt Investments, Llc | Chicago | IL | 05/2007 | 08/2018 |
| Tmt East, Llc | Chicago | IL | 12/2003 | 05/2018 |
| R.J. O'BRien Securities, Llc | Chicago | IL | 10/2009 | 06/2023 |
| Laporte County - Hazmat | Laporte | IN | 03/2009 | Present |
| Trader Compliance, Inc | Rolling Prairie | IN | 06/2006 | Present |
| Oasis Investment Strategies, Llc | Chicago | IL | 11/2010 | 01/2024 |
| Amplify Investments, Llc | Wheaton | IL | 09/2015 | 01/2026 |
| M2 Financial - Capital Force Etf Trust | Valencia | CA | 12/2025 | Present |
I PROVIDE REGULATORY CONSULTING, CCO SERVICES, AND AML REVIEWS THROUGH TRADER COMPLIANCE INC. A SINGLE MEMBER CORPORATION WHICH I OWN. I AM A FIRST RESPONDER HAZMAT TECHNICIAN WITH LAPORTE COUNTY EMA. THE AVERAGE WEEKLY HOURS SPENT ON RESPONSE MATTERS IS APPROXIMATELY 3-10 HOURS A MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-23 |
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