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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-10-12 |
| TX | RA | APPROVED_RES | 2023-08-21 |
Branch Locations
777 S Hwy 101 Suite 104, Solana Beach, CA 92075 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Minneapolis | MN | 04/2015 | 03/2017 |
| Alpine Valley Advisors, Llc | San Diego | CA | 03/2017 | 12/2021 |
| Caldwell Sutter Capital, Inc | Sausalito | CA | 06/2021 | 02/2023 |
| Hilltop Securities Inc. | Dallas | TX | 02/2023 | Present |
Kestrel ESG; non-investment related; Hood River, OR; Organization that assists municipalities in determining if bond-financed activities are aligned with sector-specific best practices to address greenhouse gas emissions; Board Member; Started May 1, 2021; 2 hrs/yr; zero hrs during business hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-09 |
| S66 | Uniform Combined State Law Examination | 2023-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 2021-07-30 |
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