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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-12-20 |
| CO | RA | APPROVED | 2021-12-14 |
Branch Locations
1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Schwab Wealth Investment Advisory, Inc | Lone Tree | CO | 05/2016 | 05/2018 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 12/2016 | 05/2018 |
| Schwab Wealth Investment Advisory, Inc. | Lone Tree | CO | 05/2016 | 12/2016 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 12/2016 | 05/2018 |
| Lacy Boots, Llc | Parker | CO | 05/2018 | 06/2020 |
| Thrivent Investment Management Inc | Colorado Springs | CO | 06/2020 | 11/2021 |
| Thrivent Financial | Appleton | WI | 06/2020 | 10/2020 |
| Thrivent Financial | Appleton | WI | 10/2020 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Colorado Springs | CO | 11/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-03 |
| S65 | Uniform Investment Adviser Law Examination | 2001-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-31 |
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