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1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2024-09-03 |
| TX | RA | APPROVED | 2024-09-03 |
Branch Locations
4605 Oleander Drive, Ste 300, Myrtle Beach, SC 29577-5739 • United States
1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc | Fairfield | IA | 08/2018 | 12/2019 |
| Coastal Carolina University | Conway | SC | 07/2002 | 01/2020 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 02/2019 | 12/2019 |
| Prospera Financial Services Inc. | Myrtle Beach | SC | 01/2020 | 08/2024 |
| Harvest Investment Services, Llc | Oakbrook Terrace | IL | 09/2024 | Present |
| Prospera Financial Services, Inc. | Myrtle Beach | SC | 01/2020 | 08/2024 |
1.MR. POUNDS IS A PRACTITIONER FOR JEFF POUNDS ATHLETIC TRANING SERVICES; LOCATED AT 4815 SEABREEZE LANE. THIS BUSINESS IS NOT INVESTMENT RELATED SPENDING 1-9% OF HIS TIME NONE DURING MARKET HOURS. COMP IS 1-9% OF HIS ANNUAL INCOME. 2.MR. POUNDS IS SECOND SUCCESSOR TRUSTEE/POA/EXECUTOR FOR HIS FAMILY TRUST LOCATED AT 1800 ADOBE CREEK DRIVE., CA 94954. THIS BUISNESS IS NOT INVESTMENT RELATED. SPENDING 1-9% OF HIS WEEKELY TIME DURING MARKET HOURS. NO COMPENSATION AT THIS TIME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 2018-11-09 |
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