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319 N Main St, Fort Bragg, CA 95437 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-11 |
| NC | RA | APPROVED | 2025-01-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
1 The Walters Institute, non-investment related, 16021 N Florida Avenue, Lutz, FL, 33549, CPAs/tax consultants who work only through financial advisors to provide tax planning education and services for integration into the advisors' practices, Director of Advisor Relations, Dec 2020 and, in an "as-needed" capacity in an effort close potential clients as of July 31, 2024; no new additional business developments efforts have occurred since that date. I average 0-2 hours per month on this effort. 0 hours devoted to OBA during securities trading hours. Responsible for cold/warm lead generation, introducing the education platform and ongoing subscription services to financial/wealth advisors across the US, and maintaining advisor relationships over time. I have had, inception to date, no contact whatsoever with end/retail clients as it relates to their personal financial information or the results from the analysis of the same. This is strictly relationship-based with advisors.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-01-30 |
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