Transitional Broker LLC
Firm details
- Headquarters
- Draper, Utah
- CRD number
- 304313
- Registered since
- May 1, 2020
- Website
- www.transitionalbroker.com
Firm profile
FINTRXOverview
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
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Contacts
3 of 11David James
CCOCRD 1241412

John Shumski
Investment Adviser RepresentativeCRD 1636896
Thomas Mulder
Registered Representative & Investment AdvisorCRD 1017836
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
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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