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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-07-11 |
| TX | RA | APPROVED | 2025-07-10 |
Branch Locations
Corpus Christi, TX • United States
Littleton, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wunderlich Securities, Inc. | Houston | TX | 08/2005 | 02/2019 |
| Ameriprise Financial Services, Inc. | Sugar Land | TX | 02/2019 | 05/2021 |
| Fsc Securities Corporation | Sugar Land | TX | 05/2021 | 11/2023 |
| Osaic Wealth, Inc. | Sugar Land | TX | 11/2023 | 06/2025 |
| Independent Financial Group, Llc | Littleton | CO | 07/2025 | Present |
NABERHOOD FINANCIAL SERVICES POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2021 ADDRESS: 7580 W Coal Mine Avenue, Unit C, Littleton CO 80123, United States DESCRIPTION: Investment Services
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-26 |
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