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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-02-25 |
| CA | RA | APPROVED | 2019-02-21 |
| TX | RA | APPROVED | 2019-02-21 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Phoenix | AZ | 11/2010 | 02/2019 |
| Desert Financial Credit Union | Phoenix | AZ | 02/2019 | Present |
| Raymond James Financial Services, Inc. | Phoenix | AZ | 02/2019 | Present |
| Raymond James Financial Services Advisors, Inc. | Phoenix | AZ | 02/2019 | Present |
| Desert Financial Wealth Management | Phoenix | AZ | 02/2019 | Present |
(1)Name of Business: Desert Financial Credit Union Address: 3423 E. Bell Road, Phoenix, AZ, 85032, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 02/21/2019 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 81+ Description of duties: financial advisor (2)Name of Business: Desert Financial Wealth Management Address: 3423 E. Bell Road, Phoenix, AZ, 85032, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/22/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: financial advisor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-25 |
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