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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-11-26 |
Branch Locations
1601 Mcculloch Blvd N, Lake Havasu City, AZ 86403 • United States
8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 08/2015 | 08/2021 |
| Bbva Securities Inc. | Lake Havasu City | AZ | 03/2015 | 08/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 01/2016 | 08/2021 |
| Bbva Wealth Solutions Inc. | Lake Havasu City | AZ | 12/2016 | 08/2021 |
| Pnc Investments | Lake Havasu City | AZ | 08/2021 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Las Vegas | NV | 11/2021 | Present |
TBD CORP, NOT INVT RELATED, LAKE HAVASU CITY, AZ, 100% OWNERSHIP, START DATE 11/30/2023, 10 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF AUTOMOTIVE BUSINESS. RENTAL PROPERTY, INVT RELATED, LAKE HAVASU CITY, AZ, 100% OWNERSHIP, START DATE 6/1/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF RENTAL PROPERTY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-08 |
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