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1090 Longfellow Dr., Beaumont, TX 77706 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2022-10-27 |
| TX | RA | APPROVED | 2022-10-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Global Financial Private Capital | Sarasota | FL | 04/2013 | 12/2016 |
| Ae Wealth Management, Llc | Topeka | KS | 12/2016 | Present |
| Retirement National | Nederland | TX | 03/2013 | Present |
| Retirement Financial Group, Llc | Beaumont | TX | 10/2022 | Present |
| Retirement Financial Group, Llc | Beaumont | TX | 07/2022 | Present |
1.) RETIREMENT NATIONAL; YES INVESTMENT RELATED; 1485 S HWY 69, NEDERLAND, TX 77627; INSURANCE SALES; OWNER/INSURANCE AGENT; START DATE 03/2013; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) JASPER INDOOR SOCCER INC, NON-INVESTMENT RELATED, HWY 96 N, JASPER, TX, 75951; INDOOR SOCCER FACILITY FOR KIDS, PARTIAL OWNER; START DATE 2006, APPROX 0 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING. 3.) SHOFNER OIL AND GAS COMPANY, LLC; INVESTMENT RELATED; JASPER, TEXAS, 75951; OIL INTEREST HOLDING COMPANY; OWNER; START DATE 04/2008; APPROX 0 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING. 4.) BUCK SPRINGS OPERATIONS INC, NON-INVESTMENT RELATED; 4829 US HWY 96, JASPER TX 75951; WATER BOTTLING MANUFACTURER; OWNER/PRESIDENT; START DATE 10/2020; APPROX 20 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; FINANCING AND MANAGEMENT. 5.) LONE STAR SPRING WATER COMPANY, LLC; YES INVESTMENT RELATED; 4829 US 96, JASPER TX 75951; REAL ESTATE; OWNER; START DATE 07/2020; APPROX 1 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; COLLECT RENT AND PAY PROPERTY TAXES. 6.) TEXAS LONE STAR SPRINGS INC; NON-INVESTMENT RELATED; 4829 US 96, JASPER TX 75951; MANUFACTORING; OWNER; STATE DATE 10/2020; APPROX 1 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; FILES TAXES. 7.) AE WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; TOPEKA, KS; RIA; IAR; START DATE 12/2016; APPROXIMATELY 80 HOURS/MONTH WITH ALL HOURS DURING SECURITIES TRADING HOURS 8.) RETIREMENT FINANCIAL GROUP, LLC; INVESTMENT RELATED; BEAUMONT, TX; RIA; MANAGING MEMBER/IAR; START DATE 07/2022; APPROXIMATELY 80 HOURS/MONTH WITH ALL HOURS DURING SECURITIES TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-30 |
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