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475 Springfield Ave, Summit, NJ 07901 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2018-01-24 |
Branch Locations
1500 Chester Avenue, Cleveland, OH 44114 • United States
475 Springfield Ave, Summit, NJ 07901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J L Thomas & Company, Inc. | Cleveland | OH | 05/2016 | Present |
| The Leaders Group, Inc. | Littleton | CO | 05/2016 | Present |
1.) THE INSURANCE OFFICE - 1/1/2017 - 20325 Center Ridge Road, Suite 400 Rocky River, OH 44116 - Referral Source, referring people who need p&c insurance to the insurance office, property & casualty insurance agency - i sometimes refer people to them and they compensate me with a referral fee., Not Invt Rel, 2 hrs/mo; 2 hrs/mo (during trading hours). 2.) J L THOMAS & COMPANY, INC - 5/1/2016 - 1500 Chester Avenue Cleveland, OH 44114 - Regional Vp/Wholesaler, insurance wholesaler and point-of-sale agent, insurance brokerage, Invt Rel, 160 hrs/mo; 140 hrs/mo (during trading hours). 3.) TLG ADVISORS, INC. - 1/24/2018 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hours).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-17 |
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