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Ryan J. Thayer

Some features on this profile are disabled
CRD#: 5960969
RT

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.

Ryan James Thayer was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2011. Ryan had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

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

February 16, 2017 - August 29, 2017

TRITON PACIFIC SECURITIES, LLC

BD
CRD#: 139919
EL SEGUNDO, CA
Past

August 3, 2016 - February 17, 2017

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
DENVER, CO
Past

October 29, 2015 - July 21, 2016

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

November 20, 2014 - August 21, 2015

ICON DISTRIBUTORS, INC.

BD
CRD#: 28568
GREENWOOD VILLAGE, CO
Past

November 30, 2012 - November 26, 2014

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

October 25, 2011 - November 19, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
COLORADO SPRINGS, CO
Past

October 3, 2011 - November 19, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
COLORADO SPRINGS, CO

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: 10/21/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2011
General Securities Representative Examination

Current Firm

TP
TRITON PACIFIC SECURITIES, LLC
TP SECURITIES, LLC | TRITON PACIFIC SECURITIES, LLC

CRD#: 139919 / SEC#: , 8-67262

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

Main Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245
Mailing Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245
Phone number
(949) 429-8500
Established
Delaware since 01/03/2005
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#
FAGGEN, CRAIG JEFFREYOWNER2734508
BRAVIN, MICHAEL ACCO/COMPLIANCE OFFICER
BUEHLER, BRIAN DAVIDPRESIDENT/CEO3059422
CARROLL, MICHAEL LOUISFINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5282521
TRITON PACIFIC CAPITAL PARTNERS, LLC.MANAGING MEMBER
TRITON PACIFIC GROUP, INC.MANAGING MEMBER

Disclosures

Regulatory Event1

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

TRITON PACIFIC SECURITIES, LLC

CRD#: 139919

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