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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-06-05 |
| CA | RA | APPROVED | 2024-05-31 |
| TX | RA | APPROVED_RES | 2024-05-31 |
Branch Locations
18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Moors & Cabot | Phoenix | AZ | 07/2016 | 11/2018 |
| Arizona State Univ | Tempe | AZ | 08/2016 | 12/2017 |
| Stifel Nicolaus & Co Inc | Phoenix | AZ | 11/2018 | 11/2019 |
| Ameriprise Financial Services Inc | Phoenix | AZ | 11/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Scottsdale | AZ | 03/2020 | 05/2024 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 05/2024 | Present |
BOY SCOUTS OF AMERICAN GRAND CANYON COUNCIL, INVT RELATED, PHOENIX, AZ, INVESTMENT COMMITTEE, START DATE 12/14/2022, 1-2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, REVIEWING THE OVERALL PORTFOLIO PERFORMANCE, LOOKING AT INVESTMENT STRATEGY IN GENERAL TERMS, DISCUSSING ASSET ALLOCATION. BWS CARS, LLC, INVT RELATED, SCOTTSDALE, AZ, 100% OWNERSHIP, START DATE 12/16/2021, 2-3 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR CAR RENTALS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-06 |
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