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1125 Nw Couch St Ste 900, Portland, OR 97209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-09-17 |
| VA | RA | APPROVED | 2024-06-10 |
| CO | RA | APPROVED | 2024-03-21 |
| NE | RA | APPROVED | 2024-03-21 |
| PA | RA | APPROVED | 2024-03-21 |
| CA | RA | APPROVED | 2024-03-20 |
| TX | RA | APPROVED | 2024-03-20 |
| WA | RA | APPROVED | 2024-03-20 |
Branch Locations
1125 Nw Couch St Ste 900, Portland, OR 97209 • United States
1125 N.W. Couch Street Suite 900, Portland, OR 97209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2023-09-15 |
| TX | RA | APPROVED | 2023-09-12 |
Branch Locations
2699 Howell Street Suite 1100, Dallas, TX 75204 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morningstar Investment Management, Llc | Chicago | IL | 05/2019 | 09/2023 |
| M Holdings Securities, Inc. | Portland | OR | 09/2023 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 03/2010 | 03/2019 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-24 |
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