THE THOM GROUP ⚠ Disclosure events INACTIVE IA

FINRA firm 122968 · SAN LUIS OBISPO, CA · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 122968
Firm name: THE THOM GROUP
Other names / DBAs: THE THOM GROUP
IA scope: INACTIVE
Branches: 0
Disclosure events: YES
HQ: SAN LUIS OBISPO, CA, 93401, United States

Run KYC screen

Check THE THOM GROUP across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + CFPB + courts + Fed + NHTSA + CISA + FINRA ↗