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5700 West 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2025-01-27 |
| TX | RA | APPROVED | 2023-11-16 |
| CA | RA | APPROVED | 2023-08-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii | Los Angeles | CA | 06/2014 | 11/2018 |
| Signature Estate & Investment Advisors Llc | Los Angeles | CA | 06/2014 | 11/2018 |
| Royal Alliance Associates, Inc. | Los Angeles | CA | 11/2018 | 05/2021 |
| Hightower Securities Llc | Los Angeles | CA | 05/2021 | 08/2023 |
| Hightower Advisors Llc | Los Angeles | CA | 05/2021 | 08/2023 |
| Mariner Platform Solutions | Overland Park | KS | 08/2023 | Present |
| Rolling Hills Advisors | Palos Verdes Estates | CA | 08/2023 | Present |
1) Rolling Hills Advisors; Palos Verdes Estates, CA; Founder; Offering investment advisory services through Mariner Platform Solutions; start date: 08/2023; 160 hours/month during securities trading hours 2) USC Associates Board of Directors; not investment-related; board member; start date: 05/2020; 1 hr/month during securities trading hours; fund raising and event planning for association
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-09-27 |
| S66 | Uniform Combined State Law Examination | 2014-09-30 |
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