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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-24 |
| AZ | RA | APPROVED | 2019-08-21 |
Branch Locations
4015 S Mcclintock Drive Suite 100, Tempe, AZ 85282 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Tempe | AZ | 09/2005 | 08/2019 |
| Commonwealth Financial Network | Waltham | MA | 08/2019 | Present |
| Ke Wealth Advisors | Tempe | AZ | 08/2019 | Present |
1.Part Owner, Ke Wealth Advisors, LLC, a private entity established to facilitate securities, advisory, and insurance business; As of 07/10/19; Greater than 95% time spent during regular business hours; Conducted at branch; Investment related. 2.Fixed insurance sales, as an Agent, under the name 'Ke Wealth Advisors'; As of 08/20/2019; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-10-24 |
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