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5901 College Boulevard Suite 400, Overland Park, KS 66211-1861 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2025-12-08 |
| PA | RA | APPROVED | 2025-12-08 |
Branch Locations
5901 College Boulevard Suite 400, Overland Park, KS 66211-1861 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Delaware Distributors, L.P. | Philadelphia | PA | 01/2011 | 01/2023 |
| Alps Distributors, Inc. | Denver | CO | 04/2023 | 02/2024 |
| Axs Investments Llc | Port Chester | NY | 04/2023 | 01/2024 |
| Pine Distrbutors Llc | Denver | CO | 04/2025 | Present |
| Tortoise Capital Advisors, L.L.C. | Overland Park | KS | 09/2024 | Present |
| Investments And Wealth Institute | Greenwood Village | CO | 04/2024 | 09/2024 |
| Unemployed | Denver | CO | 02/2024 | 03/2024 |
1) TORTOISE CAPITAL ADVISORS, LLC; 5901 COLLEGE BOULEVARD, SUITE 400, OVERLAND PARK, KS 66211; INVESTMENT RELATED; CHIEF REVENUE OFFICER; 40 HRS A WEEK ALL DURING SECURITIES HOURS. 2) FLX NETWORKS; 2 MORRISTOWN ROAD, BERNARDSVILLE, NJ 07924; NON-INVESTMENT RELATED; START DATE 01/02/2023; SERVES ON ADVISORY BOARD AND PROVIDES STRATEGIC GUIDANCE; 2HRS/MONTH WITH 0 DURING TRADING HOURS. 3) Tax-Free Fixed Income Fund II for Puerto Rico Residents, Inc.; SAN JUAN, PR; Non-Investment Related; Start Date 7/10/26; Fund Chief Compliance Officer; 10 hours per month with 10 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-22 |
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