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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-01-22 |
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 |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | St. Louis | MO | 11/2016 | 08/2017 |
| Rbc Capital Markets, Llc | Denver | CO | 08/2017 | 01/2025 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 01/2025 | Present |
| Wells Fargo Advisors Llc | St. Louis | MO | 01/2010 | 11/2016 |
1) Regal Roses LLC | Investment Related:No|5631 S Sicily Cir|Aurora|CO|80015|USA|Real Estate (Non-Agent/Broker)|Managing Member|6/8/2020|Less than 20|0|I collect rent for our rental home, coordinate any repairs needed and will advertise and lease when vacant
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-19 |
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