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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2018-11-01 |
| TX | RA | APPROVED | 2018-11-01 |
Branch Locations
3100 Sanders Road Suite 125, Northbrook, IL 60062 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edelman Financial Services Llc | Fairfax | VA | 05/2010 | 11/2018 |
| Ef Legacy Securities, Llc | Henrico | VA | 04/2016 | 10/2018 |
| Financial Engines Advisors L.L.C. | Sunnyvale | CA | 11/2018 | 04/2021 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 04/2021 | Present |
(1)ROBERT S. SAALFIELD III ESTATE AND TRUST, INVESTMENT RELATED, MERRILL LYNCH 123 MARINA DRIVE, SAINT SIMONS ISLAND, GA 31522; TRUSTEE FOR ACCOUNTS HELD AT ANOTHER B/D SINCE 5/1/2007. 1-2 HOURS PER MONTH AFTER TRADING HOURS AND/OR WEEKENDS ONLY. FOLLOW INSTRUCTIONS OF THE TRUST, MONITOR 3RD PARTY INVESTMENT PERFORMANCE AND KEEP DETAILED RECORDS. (2) Western Golf Association(WGA); INVESTMENT RELATED: No; ADDRESS: 2501 Patriot Blvd, Glenview, IL 60026; NATURE: Not for Profit 501(c)(4); POSITION: Director; START DATE: 12/01/2025; NUMBER OF HOURS/MONTH: 02 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Volunteer for the Western Golf Assoc. (WGA) and Evans Scholars Foundation (ESF) advocating for youth caddie opportunities, raise awareness for the Evans Scholars Program and mentorship while supporting the WGA in the administration and operation of amateur golf tournaments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-08 |
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