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1250 S. Capital Of Texas Hwy. Bldg. 3, Suite 400, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-02-18 |
Branch Locations
1250 S. Capital Of Texas Hwy. Bldg. 3, Suite 400, Austin, TX 78746 • United States
Katy, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfg Investments, Inc | Dallas | TX | 08/2014 | 06/2017 |
| Wfg Advisors, Lp | Dallas | TX | 08/2014 | 06/2017 |
| Sunbelt Securities Inc | Houston | TX | 06/2017 | 01/2019 |
| American General Life Insurance | Houston | TX | 01/2019 | 01/2020 |
| Aig Capital Services, Inc. | Houston | TX | 01/2019 | 07/2019 |
| Park Walk Capital Markets | Austin | TX | 03/2020 | Present |
| The Huntington Investment Company | Columbus | OH | 01/2026 | Present |
Name: Park Walk Europe LLP. Investment Related. Address: 17 Hanover Square, London, UK W1S 1BN. Nature of Business: Affiliated Broker Dealer. Position: Assistant. Title: Not Applicable. Start Date: June 2021. Hours: 40 per month, 20 during trading hours. Duties: Administrative duties including account opening, due diligence and AML/KYC. Name: Bates Group. Investment Related. Address: 6602 Ginger Lily Lane, Katy, TX. Nature of Business: Compliance Consulting. Position: Consultant. Title: Not Applicable. Start Date: January 2025. Hours: 40-80 per month, 20 during trading hours. Duties: Consult on compliance related matters.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-17 |
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