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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-07-06 |
| IN | RA | APPROVED | 2022-07-06 |
Branch Locations
9751 Indiana Parkway Suite B, Munster, IN 46321 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Naperville | IL | 02/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Naperville | IL | 11/2016 | 10/2017 |
| Ausdal Financial Partners, Inc | Davenport | IA | 01/2018 | 07/2022 |
| Ausdal Financial Partners | Davenport | IA | 10/2017 | 01/2018 |
| Royal Alliance | Munster | IN | 07/2022 | Present |
1) NOTARY PUBLIC; NON-INVESTMENT RELATED; MUNSTER, IN; NOTARY; ACTIVITY BEGAN 07/2018; I DEVOTE APPX 1 HOUR TO THIS ACTIVITY DURING TRADING HOURS; NOTARIZE DOCUMENTS FOR CLIENTS AS NEEDED. RIVERSTONE ASSET MANAGEMENT LLC; INVESTMENT RELATED; MUNSTER, IN; SALE OF INSURANCE PRODUCTS; AGENT; ACTIVITY BEGAN 05/2019;I DEVOTE APPX 2 HOURS WITH ONE OF THOSE HOURS DURING TRADING HOURS TO THIS ACTIVITY; GENERAL INSURANCE SALES TO CLIENTS. RIVERSIDE TAX SERVICES; NON-INVESTMENT RELATED; MUNSTER, IN; TAX PREPARATION SERVICES; OWNER; ACTIVITY BEGAN JAN 2022; I WILL DEVOTE VERY LITTLE TIME TO THIS ACTIVITY; CONTRACT WITH TAX PREPARERS TO ASSIST PEOPLE IN FILING THIER TAXE 2) RIVERSTONE TAX SERVICES POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 9751 Indiana Parkway, MUNSTER IN 46321, United States DESCRIPTION: Own a tax preparation company and will hire tax preparers for clients to have their taxes filed for the year. 3) RIVERSTONE ASSET MANAGEMENT POSITION: Owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2023 ADDRESS: 9751 Indiana Parkway, Suite B, Munster IN 46321, United States DESCRIPTION: Conducting administrative services for non-securities clients. Processing paperwork for entities to ensure a smooth transition.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-09-28 |
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