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7337 E Doubletree Ranch Road Suite 195, Scottsdale, AZ 85258 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-09 |
| AZ | RA | APPROVED | 2012-10-09 |
Branch Locations
7337 E Doubletree Ranch Road Suite 195, Scottsdale, AZ 85258 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Scottsdale | AZ | 10/2009 | Present |
| Aim Capital | Scottsdale | AZ | 09/2012 | Present |
1. 10/16/2009: DBA ONLY - PLN INVESTMENT STRATEGIES, LLC - SCOTTSDALE, AZ. 2. 9/18/2012: REGISTERED INVESTMENT ADVISOR - AIM CAPITAL - CHARGE HOURLY FEES FOR FINANCIAL PLANS AS WELL AS CHARGING A PERCENTAGE FOR ASSETS UNDER MANAGEMENT FOR ADVISORY SERVICES. THIS IS SPELLED OUT IN OUR ADV THAT HAS BEEN APPROVED BY LPL AND IS CURRENTLY BEING REVIEWED BY THE SEC. - (HYBRID) AIM CAPITAL - TIME SPENT 100% - SCOTTSDALE, AZ. 3. 05/06/2019 - AIM Capital - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/18/2012 - 160 hrs/mo - 80 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-12 |
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