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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-05-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Harlingen | TX | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Harlingen | TX | 11/2016 | 05/2020 |
| Osaic Wealth, Inc. | Brownsville | TX | 05/2020 | Present |
1. RCORONA3, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 08/20/2020 ADDRESS: 4004 Ridge Trl, Brownsville TX 78520, United States DESCRIPTION: The LLC is setup for purposes of managing the overall structure of my business activities. The LLC will receive commissions and fees from the broker dealer. In addition, the LLC will pay for overhead expenses and pay me a salary to my personal account. 2. BLUESTONE FINANCIAL POSITION: Sole Proprietor NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 08/20/2020 ADDRESS: 4004 Ridge Trl, Brownsville TX 78520, United States DESCRIPTION: The primary focus of my duties include working with clients to understand their needs and managing their investment portfolios. This occurs through ongoing communication and follow up with different scenarios for each client. In addition, my secondary focus is to begin to market the business in an effective way through email, a website and social media. 3. BLUESTONE FINANCIAL POSITION: Insurance Agent NATURE: Life Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2024 ADDRESS: 4004 Ridge Trl, Brownsville TX 78520, United States DESCRIPTION: Life insurance sales are offered to individuals and/or business owners. Offerings range from term life insurance to universal indexed life insurance. 4. BROWNSVILLE BEERFEST POSITION: Past President and Board Member NATURE: This is a non-profit corporation that operates an annual craft beer festival locally. The event has been established since 2013 and exists to improve the culture and quality of life for local residents. Funds raised are donated to other local non-profits and some funds are kept for the next event's operating expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2013 ADDRESS: PO Box 5724, Brownsville TX 78520, United States DESCRIPTION: My duties consist of input from past experience on the activities of the working board and representing the organization in certain meetings.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-17 |
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