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115 Broadway 5Th Floor, New York, NY 10006 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-04-09 |
| CO | RA | APPROVED | 2025-04-09 |
| TX | RA | APPROVED | 2025-04-09 |
Branch Locations
115 Broadway 5Th Floor, New York, NY 10006 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vapor Wholesales | Scottsdale | AZ | 07/2013 | 09/2016 |
| Hartford Hill Winery | Hartford | OH | 05/2015 | 04/2017 |
| Guardian Life Insurance Co | Phoenix | AZ | 04/2016 | 09/2016 |
| Park Avenue Securities Llc | Phoenix | AZ | 04/2016 | 09/2016 |
| The Vanguard Group, Inc | Scottsdale | AZ | 11/2016 | 10/2019 |
| Personal Capital | Denver | CO | 11/2019 | 08/2023 |
| Empower Advisory Group, Llc | Greenwood Village | CO | 04/2023 | 08/2023 |
| Arq Wealth Advisors, Llc | Scottsdale | AZ | 08/2023 | 04/2025 |
| Compound Planning, Inc. | New York | NY | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2015-08-07 |
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