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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-19 |
| NM | RA | APPROVED | 2024-05-02 |
Branch Locations
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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2020 | 11/2022 |
| Dish Network | Phoenix | AZ | 07/2017 | 08/2020 |
| Army National Guard | Kilgore | TX | 09/2009 | 12/2017 |
| The Valley Management Group | Tempe | AZ | 09/2016 | 07/2017 |
| Dr Pepper Snapple Group | Irving | TX | 01/2014 | 09/2016 |
| The Vanguard Group, Inc. | Plano | TX | 11/2022 | 11/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Las Cruces | NM | 01/2024 | Present |
| Bank Of America N.A. | Las Cruces | NM | 05/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2020-12-28 |
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