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333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-08-29 |
Branch Locations
3500 Wiseman Blvd, San Antonio, TX 78251-4321 • United States
Round Rock, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Encompass Advisory Services, Llc | Katy | TX | 07/2017 | 07/2018 |
| Center Coast Capital, Lp | Houston | TX | 04/2016 | 04/2017 |
| Beneficient/Gwg Holdings/Emerson Equity/Inno. Cap. Soln. Llc | Dallas | TX | 10/2019 | 04/2022 |
| Pacific Oak Capital Markets, Llc | Costa Mesa | CA | 04/2022 | 06/2025 |
| Capital Group / Capital Client Group, Inc. | San Antonio | TX | 08/2025 | Present |
| Massmutual / Mml Investors Services, Llc | Houston | TX | 08/2018 | 10/2019 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-15 |
| S65 | Uniform Investment Adviser Law Examination | 2002-05-13 |
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