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18925 Base Camp Road Suite 203, Monument, CO 80132 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-09-21 |
Branch Locations
300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States
Atlanta, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc. | New York | NY | 05/1996 | 05/2019 |
| Allianz Global Investors Distributors Llc | New York | NY | 08/2019 | 09/2020 |
| Unemployed | Atlanta | GA | 06/2019 | 08/2019 |
| Unemployed | Atlanta | GA | 09/2019 | 01/2022 |
| Emerge Capital Management | Buffalo | NY | 01/2022 | 09/2023 |
| Alps Distributors, Inc. | Denver | CO | 09/2022 | 07/2023 |
| Advisors Asset Management, Inc | Monument | CO | 09/2023 | Present |
1) Name: CHICOBB PROPERTY Address: 4202 SEAGATE LN SAINT AUGUSTINE, FL Start : 1/1/2026 Time: ALMOST NONE OWNER OF A RENTAL PROPERTY IN FLORIDA. SETTING UP LLC TO SHORT TERM RENTAL. OUTSIDE MANAGER, NO ROLE IN MANAGING PROPERTY AT ALL. NOT INVESTMENT SECURITITES RELATED 2) Name: G Flower Art Address: 5 Braemore Dr Atlanta GA 30328 Start: 4/12/26 Time: almost none, my wife is starting a flower business and I will need to financially support. Not securities investment related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-11-30 |
| S65 | Uniform Investment Adviser Law Examination | 2022-03-08 |
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