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Town Center 2245 Texas Drive, Suite 300, Sugar Land, TX 77479 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-17 |
Branch Locations
Town Center 2245 Texas Drive, Suite 300, Sugar Land, TX 77479 • United States
Fort Mill, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Purchase | NY | 06/2009 | 06/2017 |
| Morgan Stanley Services Group Inc. | Baltimore | MD | 03/2017 | 06/2017 |
| Cipperman Compliance Services | Wayne | PA | 07/2018 | 05/2021 |
| Ifp Securities Llc | Tampa | FL | 01/2023 | 02/2025 |
| Main Street Financial Solutions Llc | Newtown | PA | 01/2023 | 06/2023 |
| Nextier Solutions Inc. | Morrisville | NC | 06/2023 | Present |
| Mjd Compliance Consultants Llc | Malvern | PA | 05/2021 | Present |
| Capital One Investing, Llc | Wilmington | DE | 06/2017 | 07/2018 |
| Capital One Advisors, Llc | Wilmington | DE | 06/2017 | 07/2018 |
| Morgan Creek Capital Distributors, Llc | Chapel Hill | NC | 01/2023 | 05/2023 |
MJD Compliance Consultant LLC; 522 Cliff Lane, Malvern, PA, 19355; Investment Related; 6/1/21; Managing Member; Provides outsource CCO and complianceconsulting services to RIAs and BDs; Administer compliance program; provide compliance consulting services; 20 hours per week Retireful LLC; 16932 WillowbrooDrive Haslett, MI, 48840; Investment Related; 7/1/21; CCO; Provides investment management services to registered funds; Administer Compliance Program; 5-10hours per week Tuttle Capital Management LLC; 155 Lockwood Road, Riverside, CT, 06878; Investment Related; 6/1/2022; CCO; Provides investment managementservices to registered funds; Administer Compliance Program; 5-10 hours per week True Wealth Advisory Group LLC; 1 Alhambra Plaza, PH, Coral Gables, FL, 3313Investment Related; 10/1/22; CCO; Provides investment management services to investors; Administer compliance program; 5-10 hours per week Main StreetFinancial Solutions LLC; 503 Washington Ave, Ste 1C, Newtown, PA, 18940; Investment Related; 1/9/2023; Compliance program; Provides investment managementservices to advisory clients; Administer compliance program; 25-30 hours per week Morgan Creek Capital Distributors LLC; 301 West Barbee Chapel Road, Suite 20Chapel Hill, NC, 27517; Investment Related; 2/1/23; CCO; Provides brokerage services to investors; Administer compliance program; 5 hours per week IF Partners;3030 N Rocky Point Dr W, Ste 700, Tampa, FL, 33607; Investment Related; 2/1/23; Consultant; Provides brokerage services to investors; Review marketingcommunications; 5 hours per week Richard L. Chen PLCC Law Firm; 909 Third Avenue, # 8236, New York, NY ,10150; Non-Investment Related; 12/1/222; ConsultanProvides legal and compliance consulting services to RIAs and BDs; Perform compliance consulting services for clients; 5-10 hours per week Bates Group; 5005Meadows Rd, Ste 300, Lake Oswego, OR ,97035; Investment Related; 3/14/2022; Independent Contractor Affiliate; Provides legal and compliance consulting servicto RIAs and BDs; Perform compliance consulting services for clients; 5 hours per week Adviser Compliance Consulting Inc.; 255 Darrell Rd, Hillsborough, CA, 94010Investment Related; 6/1/22; Senior Consultant; Provides outsource CCO and compliance consulting services to RIAs and BDs; Provide compliance consulting servic10 hours per week
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-12 |
| S65 | Uniform Investment Adviser Law Examination | 1999-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-12 |
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