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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-10 |
| AZ | RA | APPROVED | 2024-01-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Mesa | AZ | 02/2017 | 01/2020 |
| La Casita Of Aj | Apache Junction | AZ | 02/2014 | 02/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Gilbert | AZ | 01/2020 | 04/2022 |
| E*Trade Securities Llc | Gilbert | AZ | 04/2022 | 09/2023 |
| E*Trade Capital Management Llc | Gilbert | AZ | 04/2022 | 09/2023 |
| Morgan Stanley | Gilbert | AZ | 01/2023 | 01/2024 |
| Wells Fargo Clearing Services, Llc | Mesa | AZ | 01/2019 | 01/2020 |
| Harrisdirect Llc | Gilbert | AZ | 04/2022 | 09/2023 |
| Raymond James Financial Services, Inc. | Mesa | AZ | 01/2024 | Present |
| Raymond James Financial Services Advisors, Inc. | Mesa | AZ | 01/2024 | Present |
| Desert Financial Credit Union | Mesa | AZ | 01/2024 | Present |
(1)Name of Business: Uber Address: 1422 E Broadway Ave, Apache Junction, AZ, 85119, United States Activity Type: Part-Time Activity/Employment Position/Title: Other Investment Related: No Start Date: 09/28/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Delivering items on my off tim (2) Desert Financial Wealth Management, 5238 S. Power Rd, Gilbert AZ 85295, Support Company - Non-Owner, Associate/Employee, I/R: No 01/16/2024, HPM: 81+ HPM trade hours: 41+ Duties: Financial Advisor
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-11 |
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