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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2021-04-07 |
Branch Locations
120 Country Club Unit 7, Incline Village, NV 89451 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Madison | WI | 06/2009 | 02/2021 |
| Prospera Financial Services Inc. | Dallas | TX | 03/2021 | Present |
*396062 - Investment Property; Investment Related - Yes; Reno, NV; Real Estate; Sole Proprietor/Owner (Proprietor, Partner, Officer, Director, Employee, Trustee, Agent); Mar 2020; During Business Hours: 0; After Business Hours: 1; Administrative.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-23 |
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