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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-24 |
| NC | RA | APPROVED | 2013-07-03 |
Branch Locations
5429 Lbj Freeway Suite 750, Dallas, TX 75240 • UNITED STATES
10590 Independence Pointe Pkwy Suite 300, Matthews, NC 28105 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prospera Financial Services | Dallas | TX | 06/2013 | Present |
Pine Lake Country Club; Investment Related - No; Lebanon Road, Mint Hill, NC 28227; Private Country Club; Board Member; Start Date 02/2024; 5 Hours Per Month, 0 During Trading hours; Asked to join Board of Directors. TCA Financial Group; Investment Related - Yes; 10590 Independence Pointe Pkwy, Suite 300, Matthews, NC 28105; DBA; Financial Advisor; 06/2013; 160 Hours Per Month; 160 During Trading Hours; Advise clients through financial planning to invest capital to help them reach their financial goals. Responsibilities include financial planning, asset allocation, product selection, risk assessment, and managing clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-06 |
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