Bruce James Thomas

Current Employers

Bruce James Thomas Jr

12494 Beech Grove Court, Moorpark, CA 93021 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-05-14

CA RA
APPROVED

Since 2020-05-14

Branch Locations

Moorpark, CA • 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

Organization	City	State	From	To
Bruce J. Thomas, Jr., Registered Investment Advisor	Westlake Village	CA	04/2011	07/2019
Thomas,Bruce James Jr., Registered Investment Advisor	Moorpark	CA	07/2019	Present

04/2011 → 07/2019

Bruce J. Thomas, Jr., Registered Investment Advisor

Westlake Village, CA
07/2019 → Present

Thomas,Bruce James Jr., Registered Investment Advisor

Moorpark, CA

Previous Registrations

2003-03-24 → 2011-04-01

Osaic Wealth, Inc.

Westlake Village, CA

Westlake Village, CA

Other Businesses

1.The adviser is a California Licensed Insurance agent. This business is not investment-related and is located at 12494 Beech Grove Court Moorpark Ca. The adviser spends approximately 10% of his time of on insurance and usually not during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-06
S63	Uniform Securities Agent State Law Examination	1994-07-25

S65 Uniform Investment Adviser Law Examination

1999-07-06
S63 Uniform Securities Agent State Law Examination

1994-07-25

Designations

View on SEC IAPD