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200 5Th Avenue 4Th Floor, Waltham, MA 02451 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2024-07-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brighton Jones | Seattle | WA | 07/2016 | 10/2016 |
| Unemployed | Gig Harbor | WA | 10/2016 | 03/2017 |
| Principal Life Insurance Company | Seattle | WA | 03/2017 | 07/2024 |
| Principal Securities, Inc. | Seattle | WA | 08/2017 | 07/2024 |
| Integrated Wealth Concepts Llc | Waltham | MA | 07/2024 | Present |
07/2024 - INTEGRATED WEALTH CONCEPTS, LLC - DBA: KONVERGENT WEALTH CONCEPTS, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA - IAR - STARTED 07/23/2024 - 160 HOURS PER MONTH DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-02 |
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