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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-10-15 |
Branch Locations
Scottsdale Kierland 1,14624 North Scottsdale Road Suite 190, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Phoenix | AZ | 01/2021 | 08/2021 |
| Arizona Associated Surgeons | Phoenix | AZ | 07/2002 | 01/2021 |
| Oppenheimer & Co Inc | Scottsdale | AZ | 08/2021 | Present |
1) SATURN 27 LLC: REGISTERED TO MY RESIDENCE. MY FAMILY INVESTMENT COMPANY, MANAGING MEMBER. CREATED ON 12/2/2014. I SPEND 1 HOUR/WEEK OUTSIDE OF TRADING HOURS AND LESS THAN 30 MINUTES PER WEEK DURING TRADING HOURS. DIRECT FAMILY INVESTMENTS. MANAGE LLC. 2) JUPITER 10 LLC: REGISTERED TO MY RESIDENCE. OWNS A SINGLE INVESTMENT PROPERTY IN UTAH (COST BASIS $310,000). INVESTMENT RELATED. MANAGING MEMBER. CREATED IN OCTOBER 2013. I SPEND 1-2 HOURS/MONTH OUTSIDE OF TRADING HOURS. MANAGE LLC. NO PROPERTY MANAGEMENT RESPONSIBILITIES. 3) I AM CURRENTLY AN INDEPENDENT CONTRACTOR WITH PLANNED PARENTHOOD OF ARIZONA, LOCATED AT PHOENIX,AZ 85014 AS OF 3/1/24 IN A NON-INVESTMENT RELATED CAPACITY. I WILL BE PERFORMING VASECTOMIES FOR AN UNDERSERVED POPULATION IN ARIZONA. I ANTICIPATE WORKING AN AVERAGE OF FOUR HOURS PER MONTH FOR PLANNED PARENTHOOOD, UP TO 1 HOUR OF WHICH WILL BE DURING TRADING HOURS. 4)WVOSC LLC: NON-INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. LLC FOR SAVINGS BONDS, FORMERLY OWNER OF SURGERY CENTER SHARES. MANAGING MEMBER. CREATED ON 10/28/04. I SPEND LESS THAN 1 HOUR/MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS. 5)JUPITER 5 LLC: INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. LLC HOLDING SHARES OF 21 LOCKS BREWERY, A RESTAURANT. MANAGING MEMEBER. CREATED ON 9/12/11. I SPEND LESS THAN 1 HOUR/MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS. 6)ROOM 10 PUBLISHING LLC: NON-INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. LLC THAT PUBLISHED SINGLE. MANAGING MEMBER. CREATED ON 8/6/20. I SPEND LESS THAN 1 HOUR/MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS. 7)WILLIAM R FRIESE & STACI A MAYER FAMILY TRUST: NON-INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. REVOCABLE FAMILY TRUST. TRUSTEE. CREATED ON 12/19/06. I SPEND LESS THAN 1 HOUR.MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS. 8)LINDALEE LLC: INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. LIMITED LIABILITY COMPANY OWNS PROPERTY IN CHICAGO, IL. MANAGING MEMBER. CREATED ON 11/9/22. I SPEND LESS THAN 1 HOUR/MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS. 9)BUKKABILL LLC: INVESTMENT RELATED. REGISTERED TO MY RESIDENCE. LIMITED LIABILITY COMPANY OWNS PROPERTY IN SEDONA, AZ. MANAGING MEMBER. CREATED ON 11/16/22. I SPEND LESS THAN 1 HOUR/MONTH AND NO SIGNIFICANT TIME DURING TRADING HOURS DEVOTED TO THIS BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-13 |
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