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401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-03-23 |
Branch Locations
401 Pennsylvania Pkwy Suite 100, Indianapolis, IN 46280 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| American Funds Distributors, Inc. | Los Angeles | CA | 10/1999 | 04/2018 |
| Wwk Investments, Inc | Northville | MI | 01/2020 | 01/2021 |
| Wwk Advisors, Llc | Northville | MI | 01/2020 | 01/2021 |
| Unemployed | Carmel | IN | 05/2018 | 01/2020 |
| Lpl Financial Llc | Northville | MI | 01/2021 | 03/2021 |
| Stifel Nicolaus & Co., Inc. | Indianapolis | IN | 03/2021 | 02/2023 |
| Sapient Capital Llc | Indianapolis | IN | 03/2023 | Present |
1. LakeHouse Management; 1202 Frenzel Parkway, Carmel, IN 46032; Single Building Medical Office; Partner; Building management supervision; 01/02/2020; 5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 2. Rental; 124 N Byran Ave, Bloomington, IN 47408; Rental Property; Owner; 04/07/2020; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 3. Wine Cellars Limited; 2409 St Andrews Circle, Carmel, IN 46032; Design and sell wine racking for cellars and cooled rooms; Partner; Assist in designing, pricing racking; 01/01/2021; 10 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Notary; 1202 Frenzel Parkway, Carmel, IN 46032; Notary Services; 08/11/2022; 1 Hour per Month, During securities trading hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-12 |
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