Tyrone V. Ross

401 FINANCIAL

San Diego, CA

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CRD#: 5704579

Professional summary

Tyrone V Ross, who also goes by Tyrone V Ross Jr, is a registered financial advisor currently at 401 FINANCIAL located in San Diego, California.

Tyrone is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Tyrone has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tyrone V Ross Jr

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) 401 STC, LLC - Tyrone Ross is the Founder of 401 STC, LLC through which he provides financial consulting services and participates in speaking engagements. This activity accounts for approximately 10 hours per month and 4 hours per month during trading hours. 2) Coindesk - Mr. Ross also acts as a contractor with Coindesk where he produces podcasts, hosts events, and participates in conference development. This activity accounts for approximately 4 hours per month and 4 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tyrone V Ross's CRS (Customer Relationship Summary).

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ISELIN, NJ

Past

November 14, 2011 - July 17, 2012

MORGAN STANLEY

RIA

CRD#: 149777

BEDMINSTER, NJ

Past

September 21, 2011 - July 17, 2012

MORGAN STANLEY

CRD#: 149777

BEDMINSTER, NJ

Past

October 25, 2010 - July 28, 2011

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

December 8, 2009 - October 25, 2010

ROCKWELL SECURITIES LLC

CRD#: 142483

NEW YORK, NY

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
(6/27/2022)

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 66

Date: 11/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/26/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2009

General Securities Representative Examination

Current Firm

401 FINANCIAL

401 FINANCIAL | 401 FINANCIAL LLC | 401 FINANCIAL INC.

CRD#: 321902 / SEC#:

California

Registered Investment Advisory firm - (6/27/2022 Approved)

Texas

Registered Investment Advisory firm - (4/12/2023 Conditional Restricted)

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(732) 965-3791

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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Firm Stability Insights

Tyrone V. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tyrone V Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLEBROOK ADVISORS

NOBLEBRIDGE WEALTH

HAYDEN ROYAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

LAIDLAW & COMPANY (UK) LTD.

ROCKWELL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/11/2011

Series 63

Date: 1/26/2010

SIE

Date: 7/10/2017

Series 7

Date: 12/7/2009

Current Firm

401 FINANCIAL

Contact information

Documents

Red Flags

Company Information

401 FINANCIAL

TRUST BUT VERIFY

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