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333 South Hope Street 55Th Floor, Los Angeles, CA 90071-1406 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2018-08-08 |
Branch Locations
333 S. Hope St. 55Th Fl., Los Angeles, CA 90071 • UNITED STATES
12711 N. Meridian Street, Carmel, IN 46032 • United States
Westfield, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab &Amp; Co., Inc. | Indianapolis | IN | 08/2015 | 01/2017 |
| American Funds | Carmel | IN | 02/2017 | 04/2020 |
| American Funds | Carmel | IN | 04/2020 | 01/2021 |
| American Funds | Carmel | IN | 01/2021 | 01/2023 |
| Capital Group / Capital Client Group, Inc. | Carmel | IN | 01/2023 | Present |
| Wheels By Gator, Llc | Westfield | IN | 03/2025 | 01/2026 |
| Capital Group/Capital Client Group, Inc. | Carmel | IN | 01/2026 | Present |
| The Deal Den, Llc | Westfield | IN | 02/2026 | Present |
| The Deal Den, Llc | Westfield | IN | 02/2026 | Present |
1. I AM THE OWNER OF CASES BY GATOR, LLC, SINCE NOVEMBER 2016. CASES BY GATOR IS AN ONLINE CELL PHONE STORE. THIS BUSINESS IS NOT INVESTMENT-RELATED. I DO NOT EXPECT TO DEVOTE ANY HOURS TOWARDS THIS LLC DURING SECURITIES TRADING HOURS. 2. WHEELS BY GATOR, LLC POSITION: Owner NATURE: Buying and selling diecast toys. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/24/2025 ADDRESS: IN 46074, United States DESCRIPTION: Owner and operator focused on the buying and reselling of diecast cars. 3.THE DEAL DEN, LLC POSITION: Member / Owner NATURE: We will be buying returned pallets and reselling them through auctions and our, eventual, website. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 02/19/20 26ADDRESS: Westfield IN 46074, United States DESCRIPTION: Owner / Member. Running the operations with my partner by hosting the auctions and fulling the PO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-11 |
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