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11750 Katy Freeway Suite 840, Houston, TX 77079 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-14 |
Branch Locations
11750 Katy Freeway Suite 840, Houston, TX 77079 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co. | Houston | TX | 03/2008 | 01/2021 |
| Haven Wealth Group | Houston | TX | 01/2021 | 10/2021 |
| Ria Advisors | Houston | TX | 12/2021 | Present |
My wife has a consulting business that helps individuals and teams work better together by utilizing the DISC model of Human Behavior. I receive no commission from the business. J BEHAN CONSULTING; ASSISTANT TO THE OWNER; INVESTMENT RELATED: NO; 77024; IT IS A CONSULTING BUSINESS THAT IS FOCUSED ON CREATING BETTER AWARENESS OF THE STRENGTHS AND BLIND SPOTS OF INDIVIDUALS AND TEAMS.; I HELP THE OWNER WHEN SHE IS PRESENTING LIVE CONTACT. I MAKE SURE ALL HER MATTER IS IN PLACE WHEN SHE SPEAKS; 2021-01-01; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 2;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-05 |
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