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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-09-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prospera Financial Services, Inc | Dallas | TX | 02/2016 | 08/2019 |
| Charles Schwab & Co., Inc. | Westlake | TX | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2012-11-25 |
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