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2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2012-01-25 |
Branch Locations
3254 E Cactus Road, Pheonix, AZ 85032 • United States
2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tribeca Financial, Llc | Mesa | AZ | 08/2008 | Present |
| Rich Financial Group, Llc | Phoenix | AZ | 02/1992 | Present |
RICH FINANCIAL GROUP, LLC; NOT INVESTMENT-RELATED; START: 02/1992; 3254 E. CACTUS ROAD PHOENIX, AZ 85032; INSURANCE SALES; OWNER / PRINCIPAL; 10 HOURS/WEEK ON INSURANCE SERVICES; 2-3 HOURS/ WEEK SPENT DURING SECURITIES TRADING HOURS. NORACE, LLC; NOT INVESTMENT RELATED; START: 02/2002; 3254 E. CACTUS RD., PHOENIX, AZ 85032; PROPERTY INVESTMENTS; OWNER / PRINCIPAL; LESS THAN 1 HOUR/MONTH SPENT; 0 HOURS/TRADING HOURS. Manager; Goldenhawk Professionals, LLC; investment related: No; Location: 3254 East Cactus Rd Phoenix AZ 85032 United States; Description of the business: Business Exit Planning; Responsibilities Duties: Client meetings and collaboration regarding business exit planning for clients.; Start date with business: 2012-08-19; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 10; Owner; AZ Fly Shop, LLC; investment related: No; Location: 3254 East Cactus Rd Phoenix AZ 85032 United States; Description of the business: Fly fishing retail store.; Responsibilities Duties: Occasional meetings.; Start date with business: 2021-04-19; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 0;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-01-10 |
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