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RIA / WealthAdvisor16 years in industry

TYRONE V ROSS

Advisor at 401 FINANCIAL

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:062230f4-cb73-cc3e-8430-ea3c3233b4f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: 401 FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 26, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 26, 2010
First registration: Nov 14, 2011
Dual registered: no
Other names: TYRONE V ROSS|TYRONE V ROSS
IAPD individual key: 5704579

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
401 FINANCIAL	State registered	Jan 1, 2025	n/a	yes	SAN DIEGO, CA	Current employment
EAGLEBROOK ADVISORS	Other adviser	Dec 4, 2019	Aug 11, 2020	no	NEW YORK, NY	Previous registration
NOBLEBRIDGE WEALTH	Independent wealth	Jun 19, 2018	Jul 3, 2019	no	NORTH CALDWELL, NJ	Previous registration
HAYDEN ROYAL	Former SEC adviser	Jul 11, 2017	Jul 10, 2018	no	Montclair, NJ\|CHARLOTTE, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 10, 2012	Jul 10, 2017	no	ISELIN, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Nov 14, 2011	Jul 17, 2012	no	BEDMINSTER, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EAGLEBROOK ADVISORS	401 FINANCIAL	Aug 11, 2020	Jan 1, 2025	1,604	Firm change after gap	Other
NOBLEBRIDGE WEALTH	EAGLEBROOK ADVISORS	Jul 3, 2019	Dec 4, 2019	154	Firm change	Other
HAYDEN ROYAL	NOBLEBRIDGE WEALTH	Jul 10, 2018	Jun 19, 2018	-21	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HAYDEN ROYAL	Jul 10, 2017	Jul 11, 2017	1	Firm change	Other
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 17, 2012	Aug 10, 2012	24	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
170037:146612:NC:2018-07-10	Jul 10, 2018	Jun 19, 2018	CHARLOTTE, NC	Firm change

Relationships

Registered with (6)

→ 401 FINANCIALRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ EAGLEBROOK ADVISORSRegistered adviserregistration: previous registration
Dec 4, 2019 to Aug 11, 2020factForm ADV
→ NOBLEBRIDGE WEALTHRegistered adviserregistration: previous registration
Jun 19, 2018 to Jul 3, 2019factForm ADV
→ HAYDEN ROYALRegistered adviserregistration: previous registration
Jul 11, 2017 to Jul 10, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 10, 2012 to Jul 10, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 14, 2011 to Jul 17, 2012factForm ADV

Dated events

No dated event names this entity yet.