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600 S. Tyler Suite 1515, Amarillo, TX 79101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-04-19 |
Branch Locations
1 disclosure category 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 |
|---|---|---|---|---|
| Argentus Advisors | Dallas | TX | 10/2008 | 05/2017 |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2014 | 12/2024 |
| Spring Capital Management, L.L.C. | Amarillo | TX | 02/2016 | Present |
1.the name of the other business: ARVEST ASSET MANAGEMENT; investment-related: yes; address of the other business: same as adviser; the nature of the other business: investment committee member; your position: INVESTMENT MANAGEMENT GROUP COMMITTEE MEMBER; start date of your relationship: 5/2012; approximate amount of time spent on this business: 16 - 20 hours per year; approximate amount of time spent on this business during securities trading hours: 16 - 20 hours per year; and briefly describe your duties relating to the other business: provide feedback on investment products. || 2.the name of the other business: RJAE, LLC; investment-related: No; address of the other business: 600 S. Avondale, Amarillo, TX 79106; the nature of the other business: HOLDING COMPANY FOR Vacation home; your position: managing member; start date of your relationship: ; approximate amount of time spent on this business: 2-3 hours/mo; approximate amount of time spent on this business during securities trading hours: 0; and briefly describe your duties relating to the other business: manage operations of the LLC. RJAE also wholly owns Bristlecomb Pine Ventures, LLC, which engages in the same activity as RJAE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-20 |
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