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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-01-20 |
| TX | RA | APPROVED_RES | 2023-01-09 |
| KY | RA | APPROVED | 2022-07-21 |
Branch Locations
9960 Corporate Campus Drive Suite 1200, Louisville, KY 40223 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Chase Bank | Louisville | KY | 04/2016 | 06/2019 |
| Jp Morgan Chase Securities Llc | Louisville | KY | 04/2016 | 06/2019 |
| U.S. Bancorp Investments, Inc. | Louisville | KY | 07/2019 | 06/2022 |
| U.S. Bank | Louisville | KY | 07/2019 | 11/2021 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 07/2011 | Present |
1) Principal Properties, LLC; INVESTMENT RELATED: No; ADDRESS: 4715 Greenwood Rd, Louisville, KY 40258; NATURE: Real Estate, rental properties, flipping houses, wholesaling properties, mobile home parks; POSITION: Owner/Manager; START DATE: 08/21/2006; NUMBER OF HOURS/MONTH: 20 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: Owner/Manager, Find properties, analyze deals, negotiate deal, purchase deal, and determine whether we are going to hold for cash flow or sell for cash 2) 7 Star Properties, LLC; INVESTMENT RELATED: No; ADDRESS: Charlestown, 47111; NATURE: Real Estate. (In Indiana) Buy and Hold Rental. Fix and Flip rental. Wholesaling. Develop raw land.; POSITION: Owner; START DATE: 08/27/2023; NUMBER OF HOURS/MONTH: 12Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0Hrs.; DUTIES: Owner/Manager. 3) Charlestown Sonic Wave, Corporation; INVESTMENT RELATED: No; ADDRESS: CHARLESTOWN, IN 47111; NATURE: Youth Baseball Travel Team (None Profit); POSITION: President; START DATE: 08/23/2025; NUMBER OF HOURS/MONTH: 16 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0hrs.; DUTIES: President/Coach of Charlestown Sonic Wave, Corporation. (Baseball Team).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-01-20 |
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