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TJ

Thomas M. Joyce

Some features on this profile are disabled
CRD#: 3174957
TJ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Matthew Joyce was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 19, 2016 - March 9, 2020

BALBOA WEALTH PARTNERS, INC.

RIA
CRD#: 282329
NEWPORT BEACH, CA
Past

January 18, 2013 - December 15, 2014

MORGAN STANLEY

BD
CRD#: 149777
IRVINE, CA
Past

January 14, 2013 - December 15, 2014

MORGAN STANLEY

RIA
CRD#: 149777
IRVINE, CA
Past

February 3, 2010 - March 20, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
SOLANA BEACH, CA
Past

January 11, 2010 - March 20, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
SOLANA BEACH, CA
Past

April 11, 2000 - January 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT BEACH, CA
Past

February 29, 2000 - January 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 29, 1999 - January 27, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL

CRD#: 282329 / SEC#: 801-107029

RIA
Registered Investment Advisory firm - (12/11/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/1/2010
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/3/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2010
General Securities Representative Examination

Current Firm

BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL

CRD#: 282329 / SEC#: 801-107029

RIA
Registered Investment Advisory firm - (12/11/2015 Approved)
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Contact information

Main Address
6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250
Mailing Address
Phone number
(949) 445-1465
Established
Firm type
Fiscal year end
# of Employees
31

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (7/18/2025)
FORM ADV PART 2A (7/18/2025)

Regulatory assets under management

Total Number of Accounts2,068
AUM (Assets Under Management)$ 804,833,455

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.

Company Information

BALBOA WEALTH PARTNERS, INC.

CRD#: 282329

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