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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-10-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameristar Casino | Council Bluffs | IA | 01/1996 | Present |
| Ameritrade, Inc. | Bellevue | NE | 07/2003 | 09/2023 |
| Horseshoe Casino Dealer, Caesars Entertainment Corp | Council Bluffs | IA | 07/2003 | Present |
| Charles Schwab & Co., Inc. | Omaha | NE | 09/2023 | Present |
Name of Outside Business:Horseshoe Casino, Caesars Entertainment Corp; Investment Related:No; Address of Outside Business:2701 23rd Ave., Council Bluffs, IA, 51501, Ext:7123296000,; Nature of Outside Business:Service Industry; Position:Supervisor/Dealer; Start Date:7/10/2003; Hours per month: 40-80; Hours per month during securities trading hours: No; Description of Duties: Casino Supervisor/Dealer - Supervise Dealors on and Deal: Craps, Roulette, Pai Gow, Blackjack, Baccarat, other casino games.? Dealing to customers in person in the casino.? No internet activity. "Part Owner in Bar (Probably 1/3 Ownership)|Investment Related:No|8525 Park Dr. ;Ralston;Nebraska;68127;USA|Restaurant/Food Services|Part Owner|2020-01-01|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0.000000|Part Owner of a Bar. Assist with Hiring employees. Training Employees. Managing employees. May help with Writing Keno tickets. May help with Bookkeeping. Janitorial Duties on Sat. and Sun. Mornings. (This would be very similar to Previous OBA as Part Bar Owner from 07/05/2005 to 01/02/2016.) We have just began the research on this Bar. We have not even talked to the building owner or began negotiating yet. The process has just begun and we may decide not to move forward. I am submitting this now so TD Ameritrade is aware just in case we do complete the purchase of the Bar."
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-26 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-27 |
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