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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 | 2025-01-03 |
| TX | RA | APPROVED_RES | 2021-08-26 |
Branch Locations
1880 Santa Barbara Avenue Suite 220, San Luis Obispo, CA 93401 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Thom Group | San Luis Obispo | CA | 02/2001 | Present |
| First Allied Securities, Inc. | San Diego | CA | 06/2005 | 09/2017 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 07/2012 | 09/2017 |
| Independent Financial Group | San Luis Obispo | CA | 09/2017 | Present |
(1) THE THOM GROUP POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/01/2001 ADDRESS: 1880 Santa Barbara Avenue, Suite 220, San Luis Obispo CA 93401, United States DESCRIPTION: Financial Advisor
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1984-04-11 |
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