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2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2024-03-08 |
| TX | RA | APPROVED_RES | 2024-03-07 |
Branch Locations
8300 Carmel Ave Ne Suite 103, Albuquerque, NM 87122 • United States
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States
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 | Albuquerque | NM | 05/2015 | 06/2018 |
| Thornburg Securities Corp | Santa Fe | NM | 07/2018 | 07/2019 |
| Fidelity Brokerage Services Llc | Albuquerque | NM | 07/2019 | 04/2021 |
| Waterway Wealth Management | Albuquerque | NM | 04/2021 | Present |
| Triad Hybrid Solutions | Atlanta | GA | 03/2024 | Present |
1)Folds of Honor-New Mexico Chapter;not investment related;PO Box 121,Placitas,NM 87043;non-profit 501c-3;director;12/1/2021;2-3 hrs/month;1-2 hrs during trading;assist with fundraising,distributing and promoting for Folds of Honor,non profit that raises money for educational scholarships 2)Peak Wealth Management;investment related;8300 Carmel Ave NE,Ste 103,Albuquerque,NM 87122;LLC;financial advisor;3/2024;160 hrs/month;130 hrs during trading;client advisory services 3)Michael Parrott;not investment related;411 Big Sky Ave,Los Lunas,NM 87031;owner/operator;1/1/2021;7 hrs/month;1 hr during trading;own and manage the rental properties 4)Waterway Wealth Management;investment related;8300 Carmel Ave NE,Ste 103,Albuquerque,NM 87122;LLC;financial planner;4/19/2021;160 hrs/month;130 hrs during trading;client advisory services and financial planner 5) Peak Wealth Management; Investment related: no; 7300 Carmel Ave. NE, Ste. 103, Albuquerque, NM 87122; Nature or Structure of Business: LLC; Position: Consultant/Partner; Start date: 04/29/2024; hours per month: 20; securities trading hours 15; Duties: helping business owners prepare for a sale and the exit from their company
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-03 |
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