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210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-02-20 |
Branch Locations
210 Jones St Ste. 104, Dubuque, IA 52001 • United States
Lantana, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Manchester | NH | 09/2007 | 11/2022 |
| Charles Schwab Bank | Manchester | NH | 08/2019 | 11/2022 |
| Avantax Investment Services, Inc. | Dallas | TX | 11/2022 | 09/2025 |
| Avantax Planning Partners | Dallas | TX | 11/2022 | Present |
| The Lay Collective, Llc | Lantana | TX | 04/2025 | Present |
| Argyle Business Association | Argyle | TX | 06/2025 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2025 | Present |
1) Rental Properties - Investment Related - 4086 N. Orleans St. Denver, CO 80249 - Real Estate/Property Management - Landlord - 03/01/2021 - Less than 20 a month - 0 during securities trading hours - Landlord for rental home. 2) Rental Property - Investment Related - 5541 Nepal St. Denver, CO 80249 - Real Estate/Property Management - Landlord - 03/01/2021 - Less than 20 a month - 0 during securities trading hours - Landlord for rental home. 3) NEPAL LLC POSITION: Agent NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/2021 ADDRESS: 29 Elk Drive, Bedford NH 03110, United States DESCRIPTION: Standard landlord duties 4) ORLEANS STREET LLC POSITION: Agent NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/21/2021 ADDRESS: 29 Elk Drive, Bedford NH 03110, United States DESCRIPTION: Standard Landlord duties 5) THE LAY COLLECTIVE, LLC POSITION: Territory Director NATURE: Local magazine targeting new home buyers allowing them know what's available in their community. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2025 ADDRESS: 8860 Weston Ln., Lantana TX 76226, United States DESCRIPTION: Working with local business owners to help them market to new home buyers moving into the area. 6) ARGYLE BUSINESS ASSOCIATION POSITION: member NATURE: Networking for local businesses INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 06/13/2025 ADDRESS: 306 N US Hwy 377, Argyle TX 76226, United States DESCRIPTION: member to attend and meet ppl in the community
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-12 |
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