Warren Jesse Mcewin Thomas
Professional Summary
Warren Jesse Mcewin Thomas, who also goes by Warren J. M. Thomas, is a registered financial advisor currently at LIGHTHOUSE CAPITAL GROUP, LLC located in Pasadena, California and EXCHANGERIGHT SECURITIES, LLC located in Pasadena, California. Warren is registered as a RR (Registered Representative) and started their career in finance in 1993. Warren has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 22, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Warren J. M. Thomas
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
EXCHANGERIGHT SECURITIES, LLC
Contact Information
Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Phone Number
(626) 564-1031Established
California since 01/06/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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MORGAN STANLEY
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State Registrations and Notice Filings
(10/11/2016)
(5/17/2023)
(7/7/2014)
(1/16/2025)
(7/3/2014)
(7/21/2014)
(1/16/2025)
(1/16/2025)
(10/26/2021)
(7/21/2014)
(1/4/2017)
(11/8/2019)
(11/14/2016)
(7/15/2014)
(8/16/2018)
(1/22/2020)
(7/5/2018)
(1/16/2025)
(5/5/2017)
(1/16/2025)
(12/17/2014)
(9/24/2018)
(3/26/2018)
(5/8/2018)
(1/23/2018)
(4/16/2015)
(1/17/2025)
(4/23/2024)
(7/17/2014)
(3/13/2018)
(7/17/2014)
(7/17/2014)
(7/18/2014)
(7/10/2014)
(3/20/2018)
(7/3/2014)
(3/12/2015)
(7/1/2014)
(7/8/2014)
(3/4/2020)
(5/26/2015)
(5/2/2018)
(5/25/2018)
(1/28/2015)
(4/4/2018)
(3/2/2018)
(1/16/2025)
(6/7/2018)
(11/10/2015)
(1/16/2025)
(12/9/2021)
(9/24/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2014About the Series 79 examSeries 22 — Direct Participation Programs Representative Examination
Passed Nov 2000About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1992About the Series 6 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jun 2004About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1997About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Warren Jesse Mcewin Thomas's CRS (Customer Relationship Summary).
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