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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-06-24 |
| CO | RA | APPROVED | 2022-04-13 |
Branch Locations
5295 Tamiami Trail North, Naples, FL 34103 • United States
10114 Parkside Drive Suite 102, Knoxville, TN 37922-1944 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Westlake | TX | 06/2019 | 04/2021 |
| Uber | Dallas | TX | 03/2019 | 06/2019 |
| Alexander Bullitts Winery And Brewery | Bardstown | KY | 11/2017 | 07/2018 |
| Keeneland Race Track | Lexington | KY | 04/2017 | 04/2018 |
| Weed Man | Lexington | KY | 09/2016 | 11/2016 |
| Deaton Enterprises | Lexington | KY | 06/2017 | 08/2017 |
| Total Quality Logistics | Dallas | TX | 09/2018 | 03/2019 |
| University Of Kentucky | Lexington | KY | 08/2014 | 08/2018 |
| Charles Schwab & Co., Inc. | Knoxville | TN | 04/2021 | Present |
| Charles Schwab Bank, Ssb | Knoxville | TN | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-09-06 |
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