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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-04-25 |
| TX | RA | APPROVED | 2025-04-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Arizona State University | Tempe | AZ | 08/2013 | 05/2017 |
| Arizona Autism United | Phoenix | AZ | 03/2016 | 08/2017 |
| Scottsdale Neurofeedback Clinic | Scottsdale | AZ | 08/2017 | 05/2018 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 06/2018 | 10/2019 |
| Arizona State University | Tempe | AZ | 01/2017 | 03/2017 |
| Bird | Santa Monica | CA | 10/2018 | 12/2019 |
| Self-Employed | San Francisco | CA | 02/2019 | 12/2019 |
| Self-Employed | Phoenix | AZ | 05/2019 | 12/2019 |
| State Street Global Advisors Funds Distributors, Llc | Boston | MA | 10/2019 | 07/2021 |
| State Street Global Advisors Trust Company | Boston | MA | 10/2019 | 07/2021 |
| Cco Capital, Llc | Phoenix | AZ | 10/2021 | 07/2022 |
| Massmutual Life Insurance Company | Scottsdale | AZ | 07/2024 | 04/2025 |
| Mml Investors Services, Llc | Scottsdale | AZ | 07/2024 | 04/2025 |
| Duffy Group | Phoenix | AZ | 07/2021 | 10/2021 |
| Design Works Gaming | Scottsdale | AZ | 08/2023 | 01/2024 |
| Swing Education | Phoenix | AZ | 01/2024 | 06/2024 |
| The Fall Collective, Llc | Phoenix | AZ | 08/2024 | Present |
| Earheart, Inc. (Earheart Ai) | San Jose | CA | 02/2022 | Present |
| Grade Potential Tutoring | Phoenix | AZ | 03/2024 | 08/2024 |
| Morgan Stanley Smith Barney Llc | Tempe | AZ | 04/2025 | Present |
(1) 016 - Earheart.ai; Not Investment Related; San Jose, CA; Technology; Officer, Employee; Start February 2022; During business hours: 0; After business hours: 10; Business Development and Growth, Fundraising, Sales, Marketing, Accounting, Bookkeeping. (2) 019 - The Fall Collective; Not Investment Related; Scottsdale, AZ; Consulting, Officer; Start July 2023; During business hours: 0; After business hours: 5; Administrative, Accounting, Bookkeeping, Business Development and Growth, Sales, Marketing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-27 |
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