Transitional Broker LLC

Broker-DealerFINRA MemberEst. 2020
Total AUM
Advisory reps
11
Avg account
$0

Firm details

Headquarters
Draper, Utah
CRD number
304313
Registered since
May 1, 2020

Firm profile

FINTRX

Overview

Transitional Broker LLC is a limited liability company that registered with the SEC in 2020. Public records classify the firm as "unclassified" and identify its owner type as a mix of a domestic entity and an individual. The firm has not provided descriptive material about its business activities, advisory services, client base, or fee structure. The snapshot data flags several negative attributes rather than a defined strategy: Transitional Broker LLC is not listed as a capital allocator, is not an active ESG investor, is not designated a multi-state adviser, and is not identified as a pension consultant or a related adviser. Taken together with the absence of disclosed investment preferences, the available information points to an entity that is not currently operating with a visible advisory platform or a documented public-facing investment approach.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 11
  • David James

    CCOCRD 1241412

  • John Shumski

    John Shumski

    Investment Adviser RepresentativeCRD 1636896

  • Thomas Mulder

    Registered Representative & Investment AdvisorCRD 1017836

Unlock 8 more contacts

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Draper, UT

Salt Lake

Location

Draper, UT

Headquartered in Draper, UT, anchoring the Salt Lake City-Provo-Orem, UT metro in the West.

Metro area
Salt Lake City-Provo-Orem, UT
Region
West
County
Salt Lake
Address
11650 S State St
Time zone
MT (UTC-7)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth