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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-02 |
| AZ | RA | APPROVED | 2023-09-05 |
| CO | RA | APPROVED | 2023-09-05 |
Branch Locations
400 East Rivulon Boulevard, Gilbert, AZ 85297 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 01/2021 | 08/2021 |
| Sve Filtration | Phoenix | AZ | 09/2013 | Present |
| E*Trade Securities Llc | Gilbert | AZ | 08/2021 | 03/2022 |
| E*Trade Capital Management Llc | Gilbert | AZ | 08/2021 | 03/2022 |
| E*Trade Securities Llc | Sandy | UT | 03/2022 | 09/2023 |
| E*Trade Capital Management Llc | Sandy | UT | 03/2022 | 09/2023 |
| Morgan Stanley | Gilbert | AZ | 03/2023 | Present |
NAME OF BUSINESS: SVE Filtration NON-INVESTMENT RELATED: ADDRESS: Phoenix, AZ NATURE OF BUSINESS: Industrial Equipment Sales POSITION: Project Coordinator START DATE: 09/2013 APPROXIMATE HOURS PER MONTH: 15 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: Project Coordinator for Industrial Equipment Sales Group
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-16 |
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