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5700 West 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-07-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Chalfont | PA | 11/2013 | 04/2017 |
| Pruco Securities, Llc | Chalfont | PA | 11/2013 | 04/2017 |
| Bbtis | King Of Prussia | PA | 04/2017 | 01/2018 |
| Bb&T | King Of Prussia | PA | 04/2017 | 01/2019 |
| Bb&T Securities, Llc | King Of Prussia | PA | 01/2018 | 02/2021 |
| Bb&T | King Of Prussia | PA | 01/2019 | 02/2021 |
| Suntrust Investment Services, Inc | King Of Prussia | PA | 09/2020 | 02/2021 |
| Suntrust Advisory Services, Inc | King Of Prussia | PA | 09/2020 | 02/2021 |
| Truist Investment Services, Inc. | King Of Prussia | PA | 02/2021 | 11/2021 |
| Truist Advisory Services, Inc. | King Of Prussia | PA | 02/2021 | 11/2021 |
| Jpmorgan Chase Bank Na | Philadelphia | PA | 11/2021 | 07/2023 |
| Jpmorgan Securities Llc | Philadelphia | PA | 11/2021 | 07/2023 |
| Mariner Platform Solutions | Overland Park | KS | 07/2023 | Present |
| Pax Financial Advisors | Newton Square | PA | 07/2023 | Present |
1) Entity Name: MidwayUSA Foundation Investment related: Yes "Address: 6001 West Van Horn Tavern Rd Suite C Columbia, MO 65203-9258 midwayusafoundation.org" Nature of the other business: Sports Position/Title/Relationship: Board Member Start Date: 07/14/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The MidwayUSA Foundation was established in 2007 to provide sustainable funding to youth shooting sports teams across the nation. I was asked to join as a board member and be a member of the investment committee. 2) Pax Financial Advisors; Newton Square, PA; Founder; offering investment advisory services through Mariner Platform Solutions; start date 7/2023; 160 hours/month during securities trading hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-21 |
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