John TingeyCRD Number: 6191758
Current Firm: The Caprock Group, Inc.
John Tingey (CRD# 6191758) is an Investment Advisor Representative working at The Caprock Group, Inc. in Park City, UT and has over 3 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|The Caprock Group, Inc.||Boise, ID||Apr 2013 - Current||3|
|Unemployed||Salt Lake City, UT||Dec 2012 - Mar 2013||< 1|
|David Francis Law Firm||Las Vegas, NV||Jan 2012 - Nov 2012||< 1|
|Howard Hughes Corp.||Las Vegas, NV||Mar 2007 - Dec 2011||4|
|Self Employed||Las Vegas, NV||Oct 2006 - Mar 2007||< 1|
|Pulte Homes||Las Vegas, NV||Aug 2005 - Oct 2006||1|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Aug 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management2,451MILLIONS
Total Number of Accounts226ACCOUNTS
Average Account Value$10,844,123
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
CA, CO, ID, UT, WA