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2237 W. 30Th Avenue, Denver, CO 80211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-04-21 |
| CA | RA | APPROVED | 2025-01-01 |
| CO | RA | APPROVED | 2025-01-01 |
| FL | RA | APPROVED | 2025-01-01 |
| PA | RA | APPROVED | 2019-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mainline West Municipal Securities Llc | Denver | CO | 07/2009 | Present |
Mainline West, LLC. Senior VP. 32 hours/week. Investing. 700 Seventeenth Street, Suite 1500 Denver, CO 80202. Mainline West Fund Manager, LLC is a wholly owned subsidiary of Mainline West, LLC so the work I do for Mainline West includes work I do for Mainline West Fund Manager, LLC. Mainline West Fund Manager, LLC manages tax advantaged proprietary funds under the name Mainline West Tax-Advantaged Opportunity Funds and Mainline West Private Client Trusts, all of which are disclosed on Form ADV for Mainline West Fund Manager, LLC. This RR is an employee of the b/d, but salary expenses are shared between Mainline West, LLC and Main Line West Municipal Securities, LLC pursuant to an established expense sharing agreement between the entities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-18 |
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