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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-02-02 |
| TX | RA | APPROVED | 2026-01-29 |
Branch Locations
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
6901 Professional Pkwy E Suite 200, Sarasota, FL 34240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jv Precision Machine Co. | Seymour | CT | 08/2006 | 12/2020 |
| National Sod Wholesalers | Milford | FL | 06/2020 | Present |
| Sunshine Sod | Naples | FL | 10/2023 | Present |
| Rh Capital Dba Refined Financial | Naples | FL | 10/2023 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 01/2025 | 05/2025 |
| Ae Wealth Management, Llc | Topeka | KS | 05/2025 | 01/2026 |
| Foundations Investment Advisors Llc | Phoenix | AZ | 01/2026 | Present |
1)Refined Financial LLC; Yes, Investment Related; 15108 Wildflower Circle, Naples FL 34119; Insurance Sales; POSITION Owner; Start Date 9/2023; Approx. 20 hours a month; Approx. 00 hours during trading; Selling life insurance and annuities. 2)National Sod Wholesalers LLC. No, Investment Related; 26 Broad St. Milford CT 06460; Remote online broker that sells sod to retail customers in NY, NJ and ME.; Owner; Start date: 1/29/21, approx. 20 hrs/mo 00 hours during trading. Oversight, make sure website SEO is working properly. 3)Sunshine Sod Commerce, LLC. No, investment related; 15108 Wildflower Circle, Naples FL 34119; Remote online broker that sells sod to retail customers in southwest FL.; Owner Start date: 9/25/23, approx. 20 hrs/mo. Oversight, make sure website has ECO efficiency.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-08-06 |
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