Warren J. Thomas
Professional summary
Warren Jesse Mcewin Thomas, who also goes by Warren J. M. Thomas, is a registered financial professional 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 6, Series 24, Series 39 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Warren Jesse Mcewin Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2014 - Present
LIGHTHOUSE CAPITAL GROUP, LLC
Office #1: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106Office #2: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106October 9, 2017 - Present
EXCHANGERIGHT SECURITIES, LLC
Office #1: 1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106September 7, 2011 - June 24, 2014
SANDLAPPER SECURITIES, LLC
May 18, 2011 - September 7, 2011
NELSONREID, INC.
February 18, 2010 - May 18, 2011
STEVEN L. FALK & ASSOCIATES INC.
August 15, 2008 - February 8, 2010
DIRECT CAPITAL SECURITIES, INC.
July 3, 2007 - August 1, 2008
INDEPENDENT FINANCIAL GROUP, LLC
January 23, 2004 - July 6, 2007
OMNI BROKERAGE, INC.
March 31, 1997 - January 29, 2004
SENTRA SECURITIES CORPORATION
November 8, 1995 - April 24, 1997
LAGUNA SECURITIES, INC.
January 4, 1993 - August 27, 1996
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
EXCHANGERIGHT SECURITIES, LLC
CRD#: 283430 / SEC#: , 8-69753
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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