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141 W Jackson Blvd Suite 3332, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-11-24 |
| TX | RA | APPROVED | 2023-04-21 |
Branch Locations
141 W Jackson Blvd Suite 3332, Chicago, IL 60604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kestra Financial Services, Inc | Austin | TX | 04/2016 | 07/2017 |
| Castleview Partners, Llc | Dallas | TX | 07/2017 | 03/2023 |
| Aza Capital Management | Chicago | IL | 04/2023 | Present |
Southwest Arkansas Water District; Investment-related: No; Address: 421 Hickory Street, Texarkana, AR 71854; Nature of Business: Community/Charitable/Civic; Position, Title or Relationship: Member board of directors; Start Date: 3/1/2013; Hours per month: 0% - 10% (0 - 16 hours); Hours per month during trading hours: 0% - 10% (0 - 14 hours); Duties: Standard board obligations and member of personnel committee.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-09 |
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