TT
Trace W. Thurlby
WCM INVESTMENT MANAGEMENT
Overland Park, KS
Some features on this profile are disabled
CRD#: 3128947
TT
Professional summary
Trace Wilson Thurlby, who also goes by Trace Wilson Thurlby, is a registered financial advisor currently at WCM INVESTMENT MANAGEMENT located in Overland Park, Kansas and IMST DISTRIBUTORS, LLC located in Portland, Maine.
Trace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Trace has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Trace Wilson Thurlby
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.
CRS (Client Relationship Summary) - RIA
Click below to view Trace Wilson Thurlby'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
March 12, 2024 - Present
WCM INVESTMENT MANAGEMENT
RIA
CRD#: 104702
Overland Park, KS
Current
January 11, 2024 - Present
IMST DISTRIBUTORS, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101BD
CRD#: 130745
Portland, ME
Past
April 27, 2001 - October 1, 2008
PRAETORIAN GUARD, A DIVISION OF CENTURION ALLIANCE, INC.
RIA
CRD#: 110036
CARMEL, CA
Past
December 14, 1998 - March 20, 2000
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
BD
CRD#: 27884
SAN MATEO, CA
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".
WI
WCM INVESTMENT MANAGEMENT
WCM INVESTMENT MANAGEMENT | WCM INVESTMENT MANAGEMENT, LLC
CRD#: 104702 / SEC#: 801-11916
RIA
Registered Investment Advisory firm - (8/12/1976 Approved)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(3/4/2024)
RR
Alaska(3/4/2024)
RR
Arizona(3/7/2024)
RR
Arkansas(3/4/2024)
RR
California(3/4/2024)
IAR
California(7/23/2024)
RR
Colorado(1/11/2024)
RR
Connecticut(1/12/2024)
RR
Delaware(3/4/2024)
RR
District of Columbia(1/11/2024)
RR
Florida(1/11/2024)
RR
Georgia(3/4/2024)
RR
Hawaii(3/4/2024)
RR
Idaho(1/22/2024)
RR
Illinois(3/4/2024)
RR
Indiana(3/4/2024)
RR
Iowa(3/4/2024)
RR
Kansas(3/4/2024)
IAR
Kansas(3/12/2024)
RR
Kentucky(3/4/2024)
RR
Louisiana(1/11/2024)
RR
Maine(3/4/2024)
RR
Maryland(1/11/2024)
RR
Massachusetts(3/4/2024)
RR
Michigan(3/4/2024)
RR
Minnesota(3/4/2024)
RR
Mississippi(3/4/2024)
RR
Missouri(3/4/2024)
RR
Montana(3/4/2024)
RR
Nebraska(3/4/2024)
RR
Nevada(3/4/2024)
RR
New Hampshire(3/4/2024)
RR
New Jersey(3/4/2024)
RR
New Mexico(3/4/2024)
RR
New York(3/4/2024)
RR
North Carolina(3/4/2024)
RR
North Dakota(3/4/2024)
RR
Ohio(3/5/2024)
RR
Oklahoma(3/4/2024)
RR
Oregon(3/4/2024)
RR
Pennsylvania(3/4/2024)
RR
Puerto Rico(1/11/2024)
RR
Rhode Island(3/4/2024)
RR
South Carolina(3/4/2024)
RR
South Dakota(3/4/2024)
RR
Tennessee(3/4/2024)
RR
Texas(3/4/2024)
RR
Utah(3/4/2024)
RR
Vermont(3/4/2024)
RR
Virgin Islands(3/4/2024)
RR
Virginia(3/4/2024)
RR
Washington(3/4/2024)
RR
West Virginia(3/4/2024)
RR
Wisconsin(3/4/2024)
RR
Wyoming(3/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WCM INVESTMENT MANAGEMENT
WCM INVESTMENT MANAGEMENT | WCM INVESTMENT MANAGEMENT, LLC
CRD#: 104702 / SEC#: 801-11916
RIA
Registered Investment Advisory firm - (8/12/1976 Approved)PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
281 Brooks Street, Laguna Beach, CA 92651-2974
Mailing Address
Phone number
(949) 380-0200
Established
Firm type
Fiscal year end
# of Employees
102
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,438 |
| AUM (Assets Under Management) | $ 74,688,235,740 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 | ||
| 01/16/2025 | ||
| 06/20/2023 | ||
| 10/25/2022 |
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.
