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9600 Great Hills Trail Suite 150W, Austin, TX 78759 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2023-08-14 |
| TX | RA | APPROVED | 2023-08-11 |
Branch Locations
9600 Great Hills Trail Suite 150W, Austin, TX 78759 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lucien, Stirling & Gray Financial Corporation | Austin | TX | 09/2002 | 12/2017 |
| Lucien, Stirling & Gray Advisory Group, Inc. | Austin | TX | 09/2002 | 10/2020 |
| Northwest Asset Management | Mercer Island | WA | 11/2020 | 10/2023 |
| Watercolor Financial | Austin | TX | 08/2023 | Present |
1. Notary Public; Not Investment Related; Austin, Texas; Start Date 03/19/2021; Approximate Hours/Month <1 hour a month During Securities Trading Hours; Notarize Signatures for Individuals 2. Board Member. Not-investment related. 10401 Anderson Mill Rd, Austin, TX 78750. Non-profit. Start date: 01/2024. 5 hours a month. 1-2 hours during trading hours. Host events at HopeAustin to talk to potential donors. Also follow up with existing donors to strengthen the relationship between HopeAustin and our contributors.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-10 |
| S66 | Uniform Combined State Law Examination | 2002-12-09 |
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