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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-02-02 |
Branch Locations
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 |
|---|---|---|---|---|
| Ameritrade, Inc. | Bellevue | NE | 01/2000 | 05/2024 |
| Landlord | Omaha | NE | 10/2014 | Present |
| Foundation Board Member | Des Moines | IA | 10/2014 | 03/2025 |
| Td Ameritrade, Inc. | Bellevue | NE | 07/2010 | 12/2022 |
| Charles Schwab And Co., Inc. | Bellevue | NE | 01/2022 | Present |
| Charles Schwab Bank, Ssb | Omaha | NE | 12/2022 | Present |
| Charles Schwab Bank, Ssb | Omaha | NE | 07/2022 | 07/2022 |
LANDLORD POSITION: OWNER NATURE: RENTAL PROPERTY INVESTMENT RELATED: NO NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 0 START DATE: 10/01/2014 ADDRESS: 3718 CASTELAR ST, OMAHA NE 68105 DESCRIPTION: OWN 2ND HOME AND RENT OUT RESIDENCE FOUNDATION BOARD MEMBER POSITION: BOARD MEMBER NATURE: FOUNDATION OVERSIGHT INVESTMENT RELATED: YES NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 10/10/2014 ADDRESS: DES MOINES IA DESCRIPTION: FOUNDATION BOARD MEMBER JOB DESCRIPTION THIS FOUNDATION BOARD OF TRUSTEES IS ELECTED TO GOVERN THE ASSETS OF A FOUNDATION AND EXERCISE LEADERSHIP IN OVERSEEING THE PURPOSES OF THE FOUNDATION. TRUSTEES MUST BE COMMITTED TO IT'S MISSION, GOVERN WITH INTEGRITY, AND ENSURE PRUDENT, ETHICAL FINANCIAL OVERSIGHT OF THE FOUNDATION'S ASSETS. TRUSTEES ARE ELECTED FOR THREE YEAR TERMS. THE FOUNDATION ASSETS ARE MANAGED BY AN OUTSIDE RIA, THE BOARD AS A WHOLE ENSURES THE INVESTMENTS ARE CONSISTENT AND PRUDENT WITH FOUNDATION CGST AND RISK TOLERANCE BUT DOESNâ??T MAKE SPECIFIC INVESTMENT RECOMMENDATIONS. 1. MAKE BROAD POLICY DECISIONS FOR THE FOUNDATION, INCLUDING INVESTMENT, FINANCIAL AND ENDOWMENT POLICIES. 2. ENSURE THE FINANCIAL HEALTH AND STABILITY OF THE FOUNDATION, INCLUDING MONITORING ENDOWMENT GROWTH, FACILITY ACQUISITION, AND ASSET PROTECTION. 3. BE ACCOUNTABLE TO CONSTITUENTS FOR THE ETHICAL AND PRUDENT MANAGEMENT OF THE FOUNDATION. 4. BE INFORMED SPOKESPERSONS TO THE BROADER PUBLIC ON BEHALF OF THE FOUNDATION. 5. AGREE TO AND SUPPORT BOARD FUNDRAISING EXPECTATIONS INCLUDING GIVING PERSONALLY TO THE ORGANIZATION. 6. ATTEND REGULAR QUARTERLY MEETINGS. 7. ENDORSE AND SUPPORT ALL ACTIVITIES, INCLUDING ADVOCACY AND EDUCATION ACTIVITIES. 8. PARTICIPATE ACTIVELY IN DISCUSSION, INTERACTION, DECISION MAKING, VOTING AND ALL WORK OF THE FOUNDATION. THE FOUNDATION ASSETS ARE MANAGED BY AN OUTSIDE RIA, THE BOARD AS A WHOLE ENSURES THE INVESTMENTS ARE CONSISTENT AND PRUDENT WITH FOUNDATION CGST AND RISK TOLERANCE BUT DOESNâ??T MAKE SPECIFIC INVESTMENT RECOMMENDATIONS. Self Employed property managment|Investment Related:No|Real Estate (Non-Agent/Broker)|Owner|2022-06-23|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Run short term rental unit out of renovated part of primary residence
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-20 |
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