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190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-05-29 |
Branch Locations
14851 N. Scottsdale Road Suite 105, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scottsdale | AZ | 11/2014 | 03/2017 |
| Independent Financial Group | Scottsdale | AZ | 03/2017 | 07/2019 |
| M. S. Howells & Co. | Scottsdale | AZ | 05/2021 | 06/2022 |
| Henry+Horne Wealth Management | Scottsdale | AZ | 03/2017 | 06/2022 |
| Interocean Capital Group Llc | Scottsdale | AZ | 06/2022 | Present |
| The Colony Group, Llc | Boston | MA | 05/2024 | Present |
(1) MARCH 2017; HENRY+HORNE WEALTH MANAGEMENT, SCOTTSDALE, AZ; INVESTMENT RELATED; RIA; SVP, PRINCIPAL; DEVOTE 160 HRS/MONTH DURING MARKET HOURS. (2) NOV 2019; BUTTA CAKES LLC, SCOTTSDALE, AZ; NON INVESTMENT RELATED; BAKERY; MINORITY OWNERSHIP; DEVOTE 0 HRS/MONTH.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-13 |
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