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JV

Josh J. Vail

THORNBURG SECURITIES LLC
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 4396876
JV

Professional summary

Josh Jaye Vail, who also goes by Joshua Jaye Vail, is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Josh is registered as a RR (Registered Representative) and started their career in finance in 2001. Josh has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 24, Series 39 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua Jaye Vail

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) - BD

Click below to view Josh Jaye Vail'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®
None

Experience

Current

February 5, 2026 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

July 14, 2021 - December 16, 2025

HAMILTON LANE SECURITIES LLC

BD
CRD#: 281510
Englewood, CO
Past

December 11, 2013 - July 16, 2021

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
DENVER, CO
Past

June 28, 2012 - December 31, 2013

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
DENVER, CO
Past

January 4, 2011 - June 28, 2012

GRAND DISTRIBUTION SERVICES, LLC

BD
CRD#: 127700
MILWAUKEE, WI
Past

April 14, 2005 - July 6, 2010

WELTON STREET INVESTMENTS LLC

BD
CRD#: 132111
ENGLEWOOD, CO
Past

January 29, 2003 - March 21, 2005

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 4, 2001 - August 26, 2002

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

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
Colorado
(2/5/2026)
RR
New Mexico
(2/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/11/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/2/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 5/11/2005
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/13/2002
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THORNBURG SECURITIES LLC
THORNBURG SECURITIES CORPORATION | THORNBURG SECURITIES LLC

CRD#: 14857 / SEC#: , 8-31249

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Phone number
(505) 984-0200
Established
Delaware since 12/28/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THORNBURG INVESTMENT MANAGEMENT INCSOLE MEMBER106357
BHATT, NIMISH SANJAYTREASURER, PRINCIPAL FINANCIAL OFFICER2789977
BROWNELL, JESSE RYANGLOBAL HEAD OF DISTRIBUTION5511918
CALLOW, AMYSECRETARY
HOLLOWAY, CURTIS EDWARDPRINCIPAL OPERATIONS OFFICER5130594
OLEXSAK, RONALDCHIEF COMPLIANCE OFFICER2858575

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

THORNBURG SECURITIES LLC

CRD#: 14857Santa Fe, NM 87506

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