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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-05-16 |
Branch Locations
2550 Middle Rd Ste. 300, Bettendorf, IA 52722 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Davenport | IA | 03/2000 | 07/2019 |
| Morgan Stanley Smith Barney | Davenport | IA | 06/2009 | 07/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 07/2019 |
| Cutter & Company Brokerage | Ballwin | MO | 07/2019 | 05/2025 |
| Prospera Financial Services, Inc. | Bettendorf | IA | 05/2025 | Present |
1. 7/12/19 DBA ONLY BUSINESS ENTITY: RIVER CITIES FINANCIAL LLC., 2550 MIDDLE RD STE.300, BETTENDORF, IA 52722/OWNER, 100% TIME. 2. 05/31/24 LAS CASITAS, CASA DE CANTA / RENTAL PROPERTY BEGINNING 09/2024 / OWNER OF CONDOMINIUM / PROPERTY MANAGER WILL HANDLE ALL RENTALS / RENTAL INCOME WILL BE RECEIVED / NOT SECURITIES RELATED / NO HOURS DEVOTED TO ACTIVITY 3. CONGREGATION BETH ISRAEL; INVESTMENT RELATED - NO; 2215 E KIMBERLY RD DAVENPORT, IA 52807; BOARD OF DIRECTORS; BOARD MEMBER; 09/2025; 3 HOURS PER MONTH; 0 DURING TRADING HOURS; SYNAGOGUE-RELIGIOUS SERVICES/PRACTICE, COMMUNITY PHILANTHROPY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-07 |
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