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10800 Sikes Place Suite 110, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-03-06 |
| WA | RA | APPROVED | 2019-09-27 |
Branch Locations
10800 Sikes Place Suite 110, Charlotte, NC 28277 • United States
Kirkland, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors | Bellevue | WA | 03/2017 | 11/2017 |
| Unemployed | Mill Valley | CA | 01/2016 | 03/2017 |
| Unemployed | Encino | CA | 07/2016 | 12/2016 |
| Unemployed | Gig Harbor | WA | 01/2017 | 03/2017 |
| Blue Duck Wealth Management | Issaquah | WA | 01/2018 | 03/2018 |
| Top Planning Llc | Kirkland | WA | 11/2017 | Present |
| Insight Folios | Kirkland | WA | 09/2019 | Present |
| Virtue Capital Management, Llc | Brentwood | TN | 04/2018 | 08/2019 |
| Sole Proprietor - Tutoring, Warehousing, And Logistics | Kirkland | WA | 02/2022 | Present |
| Top Driving Llc | Sammamish | WA | 02/2022 | 10/2022 |
1) TOP Planning LLC: Investment Related - Yes: 13041 NE 73rd Street Kirkland, WA 98033, 61061: Sales of Insurance and Annuity Products: Financial Consultant, Member Manager of SMLLC since 11/2017: 48 hours per month devoted to this business: 12 hours per week devoted during securities trading hours: Product sales for annuities and life insurance. Clients are in no way required to purchase insurance products. 2) sole proprietor - tutoring, warehousing, and logistics; investment-related: NO; Mailing Address: 13041 NE 73rd Street Kirkland, WA 98033; Nature of the other business: K-12 math tutoring, exam prep tutoring; Position, Title, or Relationship with the other business: independent contractor; start date of your relationship: February 28, 2022; approximate number of hours/month you devote to the other business: 80; number of hours you devote to the other business during securities trading hours: 0; briefly describe your duties relating to the other business: part-time tutoring after market close of grade school students and others looking to pass exams like the SAT. 3) sole proprietor - warehousing and logistics; investment-related: NO; Mailing Address: 13041 NE 73rd Street Kirkland, WA 98033; Nature of other business: warehousing and logistics; Position: independent contractor: start date: February 2022; approximate number of hours/month devoted to the other business 80; number of hours devoted to the other business during trading hours; 0; briefly describe your duties relating to the other business: warehouse and logistic work after market close
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-07 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-25 |
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