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100 Grandview Place Suite 200, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-05-16 |
Branch Locations
100 Grandview Place Suite 200, Birmingham, AL 35243 • United States
1322 Space Park Dr Suite C118, Houston, TX 77058 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Houston | TX | 02/2015 | 01/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 04/2015 | 01/2019 |
| Lpl Financial, Llc | Houston | TX | 01/2019 | 04/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 05/2022 | Present |
| One Ascent Financial Services | Houston | TX | 04/2022 | Present |
1) One Ascent Financial Services d/b/a Provident Oak Financial, LLC 2. Investment Related 3. At Registered Location4. RIa 5. Financial Advisor 6. 04/2022 7. 160 hrs/mo 8. 160 hrs during trading 9. Conduct my own business through my d/b/a 2) 1. Fixed Insurance 2. Investment Related 3. Office of Employment Address 4. Fixed / Traditional Insurance 5. Agent 6. 05/2022 7. 4 hrs/mo 8. 4 hrs during trading 9. Sales of Fixed / Traditional Insurance products 3) 1. PKS Financial 2. Investment Related 3. 80 State Street, Albany NY 12207 4. Fixed / Traditional Insurance 5. Agent 6. 05/2022 7. 4 hrs/mo 8. 4 hrs during trading 9. Sales of Fixed / Traditional Insurance Products 2) Foundations Christian Academy; start date 11/1/2022; Volunteer role/ not compensated.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-08 |
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