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111 West Houston Street, San Antonio, TX 78205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2024-06-26 |
| CO | RA | APPROVED | 2024-06-06 |
| TX | RA | APPROVED | 2024-02-21 |
Branch Locations
10420 Louetta Rd Ste 120, Houston, TX 77070 • United States
111 West Houston Street, San Antonio, TX 78205 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Tomball | TX | 03/2007 | 02/2024 |
| Symphony Financial, Ltd. Co. | Tomball | TX | 07/2014 | 02/2024 |
| Frost Brokerage Services, Inc. | Houston | TX | 02/2024 | Present |
(1) Uber; Not investment related; 1725 Third Street, San Francisco, CA 94158; Rideshare; Part-Time Driver; Started 5/2024; Approx. 80hrs/mo; Not during trading hrs; Rideshare driver on the weekends.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-08 |
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