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1521 Westbranch Drive Suite 100, Mclean, VA 22102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-10-24 |
Branch Locations
100 Crescent Court Suite 700, Dallas, TX 75201 • United States
1521 Westbranch Drive Suite 100, Mclean, VA 22102 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mufg Union Bank N.A. | Dallas | TX | 06/2010 | 09/2017 |
| Btmu Securities, Inc. | Dallas | TX | 01/2016 | 03/2017 |
| Mufg Securities Americas Inc. | New York | NY | 04/2017 | 07/2017 |
| Gladstone Management Corporation | Mclean | VA | 02/2018 | Present |
| Gladstone Securities, Llc | Mclean | VA | 02/2018 | Present |
| Unemployed | Dallas | TX | 10/2017 | 02/2018 |
I am an employee of one of our affiliates, Gladstone Management Corporation ("GMC"), a registered investment adviser under the Investment Advisers Act of 1940. GMC serves as an investment adviser to four publicly traded funds, Gladstone Capital Corporation (NASDAQ: GLAD), Gladstone Investment Corporation (NASDAQ: GAIN), Gladstone Commercial Corporation (NASDAQ: GOOD), and Gladstone Land Corporation (NASDAQ: LAND). Its headquarters are located at 1521 Westbranch Drive Suite 100, McLean, VA 22102. Since February 2018, I have served as a managing director for GMC, supporting its day to day operations as investment adviser for the above named operations. I devote 30+ hours a week to the aforementioned activities and 25+ hours a week during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-03-16 |
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