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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-27 |
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 |
|---|---|---|---|---|
| Fidelity Brokerage Services | Westlake | TX | 06/2015 | 09/2017 |
| Morgan Stanley Smith Barney | Fort Worth | TX | 10/2017 | 10/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 11/2017 | 10/2018 |
| Td Ameritrade, Inc. | Westlake | TX | 01/2019 | 06/2024 |
| Td Ameritrade Investment Management, Llc | Westlake | TX | 01/2019 | 06/2024 |
| Charles Schwab & Co., Inc. | Westlake | TX | 01/2022 | Present |
| Charles Schwab Bank, Ssb | Westlake | TX | 04/2022 | Present |
1) Dorrance Publishing | Investment Related:No|Printing/Publishing|Author|9/1/2015|Less than 20|0|I don't work for the company, but they published a book I authored in 2015.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-13 |
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