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830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2026-07-06 |
| TX | RA | APPROVED | 2026-07-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Quasar Distributors, Llc | Milwaukee | WI | 03/2020 | 10/2022 |
| Capital Advisors, Inc | Tulsa | OK | 03/2020 | 06/2026 |
| Corient | Tulsa | OK | 06/2026 | Present |
| Morgan Stanley Smith Barney | Tulsa | OK | 03/2011 | 03/2020 |
(1.) NAME OF OBA: RODAN AND FIELDS; ADDRESS OF OBA: TULSA, OK; NATURE: SKIN CARE HOME SALES; INVESTMENT RELATED: NO; RELATIONSHIP WITH OBA: HOME SALES; DUTIES: HOME-BASED SKIN CARE SALES, COMPENSATION LESS THAN $1000 PER YEAR; START DATE: 10/01/2019; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-18 |
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