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919 Milam St Suite 500, Houston, TX 77002 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-07-07 |
| CA | RA | APPROVED | 2026-07-03 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M3 Financial | Glastonbury | CT | 01/2015 | Present |
| Ash Brokerage | Fort Wayne | IN | 09/2015 | Present |
| Mercap Securities, Llc | Paoli | PA | 10/2015 | 12/2017 |
| First Palladium, Llc | Fort Wayne | IN | 10/2018 | 07/2019 |
| Simplicity Financial Investment Services | Summit | NJ | 10/2019 | Present |
| Simplicity Financial Distributors | Hartford | CT | 07/2019 | Present |
QUANTUM FINANCIAL STRATEGIES; INV REL; NATURE=LICENSED AS AN IND INS AGT TO SELL FIXED INS PRODUCTS; START DATE=04/2021; 70% OF THE TIME
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-03-25 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-11 |
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