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1200 17Th Street Suite 2000, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-08-23 |
| ID | RA | APPROVED | 2023-02-22 |
| WA | RA | APPROVED | 2021-03-31 |
Branch Locations
201 West North River Drive Suite 380, Spokane, WA 99201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Spokane | WA | 11/2014 | 12/2016 |
| Rbc Capital Markets, Llc. | Spokane | WA | 06/2019 | 03/2021 |
| Wells Fargo Bank | Spokane | WA | 11/2014 | 06/2019 |
| City National Bank | Spokane | WA | 08/2019 | 03/2021 |
| Mercer Global Advisors Inc. | Spokane | WA | 03/2021 | 09/2024 |
| Mercer Global Advisors Inc. | Spokane | WA | 09/2024 | Present |
(1)RENTAL PROPERTY; INV-RELATED; SPOKANE, WA; 100% OWNERSHIP; START: 07/01/1992; HOURS: 3 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD (2)Owner and landlord of a residential rental property (Cedar Street) in Spokane, WA since 08/01/1990. Devotes 1 hour a month (0 hours during trading hours) to finding and screening tenants, paying monthly expenses, and making improvements. Receives compensation from owning and managing the property. The activity is not investment related. (3)Owner and landlord of a residential rental property (Oak Street) in Spokane, WA since 05/01/2006. Devotes 1 hour a month (0 hours during trading hours) to finding and screening tenants, paying monthly expenses, and making improvements. Receives compensation from owning and managing the property. The activity is not investment related. (4)Owner and landlord of a residential rental property (Lindeke Street) in Spokane, WA since 04/04/2011. Devotes 1 hour a month (0 hours during trading hours) to finding and screening tenants, paying monthly expenses, and making improvements. Receives compensation from owning and managing the property. The activity is not investment related. (5)Owner and landlord of a residential rental property (Decatur Avenue) in Spokane, WA since 05/07/2012. Devotes 1 hour a month (0 hours during trading hours) to finding and screening tenants, paying monthly expenses, and making improvements. Receives compensation from owning and managing the property. The activity is not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-06 |
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