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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-01-03 |
| NM | RA | APPROVED | 2016-11-04 |
Branch Locations
125 Lincoln Avenue Suite 200, Santa Fe, NM 87501 • 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 |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Sante Fe | NM | 06/2007 | 10/2016 |
| Various Insurance Carriers For W & R Insurance Agencies | Sante Fe | NM | 12/2007 | Present |
| Newton, Llc | Santa Fe | NM | 01/2012 | Present |
| Raymond James & Associates | Santa Fe | NM | 10/2016 | Present |
12/2007 TO PRESENT, VARIOUS INSURANCE CARRIERS FOR W & R INSURANCE AGENCIES, SANTE FE, NM, INSURANCE AGENT, INSURANCE SALES, INVESTMENT RELATED. 1/2012-10/2016, NEWTON LLC, SANTA FE, NM, INVEST-RELATED: N, LIMITED LIABLITIES COMPANY, OWNER, 40 HRS/MO, 0 HRS DURING SECURITIES TRADING. 1/2015-PRESENT, NORTHERN NEW MEXICO HUMAN RESOURCES ASSOC, SANTA FE, NM, INVEST-RELATED: N, HUMAN RESOURCES, VP MARKETING, 12 HRS/MO, 0 SEC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-14 |
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