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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-24 |
| AZ | RA | APPROVED | 2019-02-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Planners' Financial Services | Scottsdale | AZ | 10/2012 | 02/2019 |
| Rogers & Kirby | Phoenix | AZ | 04/2011 | 01/2019 |
| Rogers & Kirby, Inc. | Phoenix | AZ | 02/2011 | 01/2019 |
| Independent Financial Group, Llc | Flagstaff | AZ | 02/2019 | Present |
(1) FULTON SPRINGS FINANCIAL, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/01/2022 ADDRESS: 2133 E Skyline Drive, Flagstaff AZ 86004, United States DESCRIPTION: I own 100% of Fulton Springs Financial, LLC. I will be using it for marketing purposes only. I am a financial advisor. (2) KNOLLMILLER & ARENOFSKY, LLP POSITION: Independent Contractor NATURE: Referral Services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/28/2020 ADDRESS: 2133 E Skyline Drive, Flagstaff AZ 86004, United States DESCRIPTION: I refer clients or non-clients to the attorney's office. I also act as a witness during trust signings. At no time am I involved in giving legal advice. I am NOT compensated by the attorney's office. I am compensated for my time by the client or non-client.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-28 |
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