TJ
Thomas E. Jandt
WESTPARK CAPITAL
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 2332028
TJ
Professional summary
Thomas Edward Jandt is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in Irvine, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)Thomas Jandt & Associates, Inc. dba HILTON THOMAS ESTATES AND HOMES / Market Value Realty, CORONA, CA - MANAGEMENT AND REAL ESTATE SALES - REAL ESTATE BROKER AND CEO SINCE JULY OF 2014 - 1 HRS/MONTH NOT DURING TRADING HOURS I3 FINANCIAL, INC. POSITION: CEO NATURE: i3 Financial, Inc. operates a dba, i3 Capital Advisors which provides consulting services in the form of due diligence review and business strategy assessment for early stage to development stage companies that are preparing to raise capital in the public and private markets. www.i3capitaladvisors.com INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2020 ADDRESS: 1600 Dove St, Suite 250, Newport Beach CA 92660, United States DESCRIPTION: Management, marketing and working directly with entrepreneurs. THOMAS JANDT REAL ESTATE BROKER POSITION: BROKER NATURE: Residential Real Estate Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2024 ADDRESS: 822 MERIDIAN LN, Corona CA 92882, United States DESCRIPTION: Listing and buyer representation services for residential real estate transactions.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Jandt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Jandt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 18, 2016 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Current
July 20, 2016 - Present
WESTPARK CAPITAL, INC.
Office #1: 2030 Main Street Suite 210, Irvine, CA 92614RIA
BD
CRD#: 39914
Irvine, CA
Past
January 14, 2015 - April 6, 2015
NEWPORT COAST ASSET MANAGEMENT, INC.
RIA
CRD#: 170311
CORONA, CA
Past
June 8, 2010 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
IRVINE, CA
Past
May 27, 2008 - July 20, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
IRVINE, CA
Past
June 26, 2006 - December 11, 2008
AIS FINANCIAL, INC.
BD
CRD#: 41462
IRVINE, CA
Past
May 21, 2003 - June 23, 2006
INTEGRITY BROKERAGE, LLC
BD
CRD#: 117589
OCEANSIDE, CA
Past
October 23, 2002 - April 17, 2003
FINANCE 500, INC.
BD
CRD#: 12981
IRVINE, CA
Past
January 27, 1995 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
BD
CRD#: 29794
CARLSBAD, CA
Past
January 27, 1994 - January 31, 1995
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
April 26, 1993 - January 28, 1994
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/30/2019)
RR
Alaska(4/8/2022)
RR
Arizona(9/9/2016)
IAR
Arizona(11/27/2018)
RR
Arkansas(5/10/2022)
IAR
California(7/18/2016)
RR
California(7/20/2016)
RR
Colorado(10/18/2016)
IAR
Colorado(3/31/2021)
RR
Connecticut(7/29/2016)
RR
Florida(7/20/2016)
IAR
Florida(12/11/2020)
RR
Hawaii(9/23/2016)
IAR
Hawaii(10/13/2016)
RR
Idaho(7/20/2016)
RR
Illinois(10/28/2016)
RR
Indiana(2/7/2019)
RR
Iowa(4/3/2017)
IAR
Louisiana(9/9/2020)
RR
Maryland(7/20/2016)
RR
Massachusetts(10/7/2016)
RR
Minnesota(7/22/2016)
IAR
Minnesota(6/7/2019)
RR
Missouri(7/20/2016)
RR
Nebraska(3/31/2017)
RR
Nevada(7/20/2016)
RR
New Jersey(7/20/2016)
IAR
New Jersey(12/21/2021)
RR
New York(7/20/2016)
RR
North Carolina(8/12/2016)
IAR
North Carolina(1/9/2023)
RR
North Dakota(9/16/2016)
RR
Ohio(7/20/2016)
RR
Pennsylvania(7/21/2016)
RR
South Carolina(7/30/2016)
RR
Tennessee(10/18/2022)
RR
Texas(9/1/2016)
IAR
Texas(5/24/2022)
RR
Utah(8/5/2016)
RR
Virginia(7/20/2016)
RR
Washington(7/20/2016)
RR
Wisconsin(3/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Century Park East 22nd Floor, New York, NY 10017
Mailing Address
1800 Century Park East Suite 220, Los Angeles, CA 90067
Phone number
(310) 843-9300
Established
Michigan since 09/05/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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.
