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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-08-13 |
Branch Locations
295 N. Hubbards Lane Suite 101, Louisville, KY 40207-8206 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Home Depot | Florence | KY | 05/2016 | 09/2016 |
| Envoy Air, Inc. | Hebron | KY | 06/2017 | 10/2017 |
| Mercedes-Benz | Ft. Mitchell | KY | 05/2018 | 06/2018 |
| Malone's | Lexington | KY | 10/2018 | 12/2018 |
| International Alliance Of Theatrical Stage Employees | Cincinnati | OH | 06/2014 | 06/2019 |
| Montgomery Inn | Cincinnati | OH | 05/2019 | 10/2020 |
| Citigroup | Florence | KY | 06/2020 | 10/2020 |
| Fidelity Investments | Covington | KY | 10/2020 | 06/2021 |
| University Of Kentucky | Lexington | KY | 08/2014 | 08/2019 |
| Ferguson Enterprises | Cincinnati | OH | 09/2021 | 10/2021 |
| Charles Schwab & Co., Inc. | Louisville | KY | 12/2021 | Present |
| Charles Schwab Bank, Ssb | Louisville | KY | 12/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2021-03-08 |
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