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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2025-04-07 |
| TX | RA | APPROVED | 2023-05-05 |
Branch Locations
807 Las Cimas Pkwy Bldg 2, Suite 275, Austin, TX 78746 • United States
Dallas, TX • United States
8721 Milwaukee, Lubbock, TX 79424 • United States
8100 Lang Ave Ne Suite 102, Albuquerque, NM 87109 • United States
10101 Reunion Pl One Union Square-Ste 300, San Antonio, TX 78216-4157 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc. | Centennial | CO | 05/2011 | 05/2019 |
| Invesco Distributors, Inc. | Houston | TX | 05/2019 | 08/2019 |
| City National Rochdale | Dallas | TX | 09/2019 | 03/2023 |
| Cnr Securities, Llc | Dallas | TX | 09/2019 | 03/2023 |
| Mml Investors Services, Llc | Dallas | TX | 05/2023 | Present |
| Massmutual Life Insurance Co | Dallas | TX | 04/2023 | Present |
(1) NAME: WOOLHISER REAL ESTATE INV REL: Y ADD: RESIDENTIAL NATURE: RENTAL INCOME - AIRBNB POSITION: OWNER START DATE: 05/01/2023 No. HR/MO: 1. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: MAINTAIN PROPERTY AND LISTING. (2) Name: WOOLHISER FINANCIAL LLC Inv Rel: Y Addr: 6975 BOB O LINK DRIVE, DALLAS, TX 75214 Nature: ENTITY FOR 1099 INCOME Position: OWNER Start Date: 8/15/2023 No. Hr/Mo: 1 No. Hr/Mo During Sec Trading: 1 Duties: ENTITY ESTABLISHED FOR 1099 INCOME
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-10-09 |
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