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155 Bovet Road, Suite 725, San Mateo, CA 94402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-09-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Signature Financial Planning | Pittsburgh | PA | 10/2015 | 09/2016 |
| Fsc Securities Corp | Atlanta | GA | 09/2016 | 02/2017 |
| Tmd & Associates, Inc. | Scottsdale | AZ | 05/2017 | 09/2021 |
| Emerson Equity Llc | San Mateo | CA | 11/2021 | Present |
| Carleton Capital Group | Scottsdale | AZ | 01/2018 | Present |
1)- CARLTEON CAPITAL GROUP, LLC-INVESTMENT RELATED- 19475 N GRAYHAWK DRIVE, UNIT 2071, SCOTTSDALE AZ 85255-MANAGER OF TWO REG D RULE 506(b) FUNDS, CARLETON CAPITAL FUND I & FUND II-AS MANAGING MEMBER I SEND QUARTERLY EMAILS AND SEND OUT QUARTERLY DISTRIBUTIONS, ASSIST WITH THE DISSEMINATION FOR THE ANNUAL SCHEDULE K-1 TAX FORM; 01/2018, NO HOURS DURING SECURITIES TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-12-21 |
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