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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-10 |
Branch Locations
3965 Dallas Parkway Frisco Regional, Frisco, TX 75034 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One | Lewisville | TX | 07/2012 | 09/2017 |
| Capital One Advisors, Llc | Flower Mound | TX | 04/2015 | 09/2017 |
| Capital One Investing, Llc | Flower Mound | TX | 01/2015 | 09/2017 |
| Frost Brokerage Services, Inc | Southlake | TX | 09/2017 | 01/2019 |
| Frost Investment Services | Southlake | TX | 10/2017 | 01/2019 |
| Frost Bank | Southlake | TX | 09/2017 | 01/2019 |
| Tiaa-Cref Individual & Institutional Services, Llc | Frisco | TX | 09/2019 | Present |
| Tiaa | Frisco | TX | 09/2019 | Present |
| Unemployed | Lewisville | TX | 01/2019 | 09/2019 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-21 |
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