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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-18 |
| AZ | RA | APPROVED | 2019-07-12 |
Branch Locations
14850 N. Scottsdale Road Suite 155, Scottsdale, AZ 85254 • United States
Scottsdale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Chase Investment Services Corp. | Chicago | IL | 07/2005 | 07/2019 |
| Wells Fargo Advisors Llc | Scottsdale | AZ | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 11/2016 | 07/2019 |
| Raymond James & Associates, Inc | Stockdale | AZ | 07/2019 | Present |
(1) Name of Business: SMP Equity LLC Address: 10869 N. Scottsdale Rd STE 103-206, Scottsdale, AZ, 85254, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/01/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Vacation rental home. Its managed by property manager so I have little responsibility.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-26 |
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