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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Albany | NY | 05/2009 | 02/2018 |
| Td Ameritrade, Inc. | Albany | NY | 02/2018 | 12/2023 |
| Td Ameritrade Investment Management, Llc | Albany | NY | 02/2018 | 09/2023 |
| Scottrade Investment Management | Saint Louis | MO | 05/2017 | 02/2018 |
| Charles Schwab & Co., Inc. | Albany | NY | 01/2022 | 01/2024 |
| Charles Schwab Bank, Ssb | Albany | NY | 07/2022 | 01/2024 |
| Charles Schwab & Co., Inc. | Saratoga Springs | NY | 03/2024 | Present |
1) Myself/Professional Kayak Bass Fisherman | Investment Related:No|Other|Professional Kayak Bass Fisherman|4/16/2018|Less than 20|0.000000|Occasionally I will participate in local and national Kayak Bass Fishing Tournaments which could potentially have cash payouts depending on where I finish in a tournament. Tournaments are typically held on week-ends and do not interfere with work.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-06 |
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