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5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2024-07-18 |
| TX | RA | APPROVED | 2024-07-18 |
Branch Locations
1060 Dauphin Street, Mobile, AL 36604 • United States
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Mobile | AL | 05/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Mobile | AL | 11/2016 | 07/2024 |
| Kestra Investment Services Llc | Mobile | AL | 07/2024 | Present |
| Kestra Private Wealth Services Llc | Mobile | AL | 07/2024 | Present |
Business Name: DAUPHINE CAPITAL POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/18/2024 ADDRESS: 1060 Dauphin Street, Mobile AL 36604, United States DESCRIPTION: Perform all duties related to being a registered representative and Investment Advisor. Business Name: ASHBEE GROUP CAPITAL MANAGEMENT POSITION: Owner NATURE: Tax Entity INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2024 ADDRESS: 1060 Dauphin St, Mobile AL 36604 DESCRIPTION: Manage Payroll through this entity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-14 |
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