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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-16 |
| AZ | RA | APPROVED | 2018-12-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 10/2015 | 10/2018 |
| East Valley Music Instruction Inc. | Chandler | AZ | 07/2001 | Present |
| Financial Engines Advisors L.L.C. | Phoenix | AZ | 10/2018 | 09/2021 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 09/2021 | Present |
(1) NAME: Kurt Finchum; Non-Investment related; ADDRESS: Mesa, AZ; NATURE: Musician; POSITION/TITLE: Freelance musician & bandleader; START DATE: 01/12/2021; HRS/MTH: 20; HRS/MTH DURING SECURITIES TRADING HOURS: 0; DUTIES: Freelance musician & bandleader
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 2015-11-18 |
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