Bruce J. Thomas

BRUCE JAMES THOMAS JR

Moorpark, CA

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CRD#: 2509968

Professional summary

Bruce James Thomas JR, CFP® is a registered financial advisor currently at BRUCE JAMES THOMAS JR located in Moorpark, California.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Bruce has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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.The adviser is a California Licensed Insurance agent. This business is not investment-related and is located at 12494 Beech Grove Court Moorpark Ca. The adviser spends approximately 10% of his time of on insurance and usually not during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce James Thomas JR'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

May 14, 2020 - Present

BRUCE JAMES THOMAS JR

RIA

CRD#: 115903

Moorpark, CA

Past

March 24, 2003 - April 1, 2011

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WESTLAKE VILLAGE, CA

Past

September 2, 1998 - April 1, 2011

OSAIC WEALTH, INC.

CRD#: 23131

WESTLAKE VILLAGE, CA

Past

September 19, 1994 - September 14, 1998

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

July 26, 1994 - August 25, 1994

FIVE STAR RESOURCES, INC.

CRD#: 30414

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.

Highlighted states indicate IAR registrations

IAR

California
(5/14/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/25/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRUCE JAMES THOMAS JR

BRUCE JAMES THOMAS JR | THOMAS,BRUCE JAMES JR. | BRUCE JAMES THOMAS JR.

CRD#: 115903 / SEC#:

California

Registered Investment Advisory firm - (6/13/2000 Approved)

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Contact information

Main Address

12494 Beech Grove Court, Moorpark, CA 93021

Mailing Address

Phone number

(805) 778-1160

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Bruce J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce James Thomas JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRUCE JAMES THOMAS JR

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

FIVE STAR RESOURCES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/1999

Series 63

Date: 7/25/1994

Series 7

Date: 3/18/1997

Series 6

Date: 7/25/1994

Current Firm

BRUCE JAMES THOMAS JR

Contact information

Documents

Red Flags

Company Information

BRUCE JAMES THOMAS JR

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