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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-09-09 |
| TX | RA | APPROVED | 2024-09-09 |
Branch Locations
5613 Dtc Pkwy [Rf-Rbo], Greenwood Village, CO 80111 • United States
5613 Dtc Pkwy Ste 1000, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Global Advisors, Inc | Greenwood Village | CO | 05/2012 | 08/2019 |
| 1St Global Capital Corp | Greenwood Village | CO | 05/2012 | 08/2019 |
| 1St Global Insurance Services Inc | Greenwood Village | CO | 05/2012 | 08/2019 |
| I.M. Wealth Care, Llc | Greenwood Village | CO | 05/2012 | 03/2022 |
| Lpl Financial, Llc | Greenwood Village | CO | 09/2019 | 09/2024 |
| Merit Financial Group | Greenwood Village | CO | 09/2019 | 09/2024 |
| I.M. Financial, Llc | Greenwood Village | CO | 04/2022 | 09/2024 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 09/2024 | Present |
RENTAL PROPERTY; INV RELATED; LITTLE ROCK; AK; 100% OWNERSHIP; START: 9/27/2024; 1.5 HOURS A MONTH; 0 HOURS DURING TRADING; RESIDENTIAL RENTAL PROPERTY. | RENTAL PROPERTY; INV RELATED; LITTLE ROCK; AK; 100% OWNERSHIP; START: 9/27/2024; 1.5 HOURS A MONTH; 0 HOURS DURING TRADING; RESIDENTIAL RENTAL PROPERTY. | RENTAL PROPERTY; INV RELATED; MEMPHIS; TN; 100% OWNERSHIP; START: 10/08/2024; 2 HOURS A MONTH, 0 HOURS DURING TRADING; RESIDENTIAL RENTAL PROPERTY. | PKI HOLDINGS, LLC; INV RELATED; CENTENNIAL; CO; 100% OWNERSHIP; START: 10/08/2024; 2 HOURS A MONTH, 0 HOURS DURING TRADING. | RENTAL PROPERTY; INV RELATED; LITTLE ROCK; AR; 100% OWNERSHIP; START: 12/31/2024; 1 HOUR A MONTH, 0 HOURS DURING TRADING; RENTAL PROPERTY. | RENTAL PROPERTY; INVESTMENT RELATED; 100% OWNERSHIP; 01/24/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS; RENTAL PROPERTY | KALE INVESTMENT HOLDINGS, LLC; INVESTMENT RELATED; CENTENNIAL, CO; 100% OWNER; 01/13/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS; PROVIDE REHABBED AFFORDABLE HOUSING | DUPLEX RENTAL PROPERTY; INV RELATED; LITTLE ROCK, AR; 100% OWNERSHIP; 02/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING; RENTAL PROPERTY | CLEARWATER CONSTRUCTION, LLC; INV RELATED; CENTENNIAL, CO; DEAL IN SINGLE FAMILY HOMES ;100% OWNERSHIP; -; START DATE: 09/03/2025; 3 HRS PER MONTH; 0 HRS DURING TRADING ; | RENTAL PROPERTY - WHITMORE; INV RELATED; MEMPHIS, TN; RENTAL INCOME ;100% OWNERSHIP; START DATE: 10/14/2024; 1 HRS PER MONTH; 0 HRS DURING TRADING;| LAKE INVESTMENT HOLDINGS, LLC; INV RELATED; CENTENNIAL, CO; RENTAL;100% OWNERSHIP; START DATE: 01/30/2020; 1 HRS PER MONTH; 0 HRS DURING TRADING;|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-08 |
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