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7800 N. Dallas Pkwy Ste 330, Plano, TX 75024 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-20 |
Branch Locations
7800 N. Dallas Pkwy Ste 330, Plano, TX 75024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mitchell, Lockhart & Associates | Plano | TX | 03/2012 | Present |
| Caprock Capital Advisors Inc | Dallas | TX | 04/2014 | Present |
I AM CURRENTLY A CO-TRUSTEE FOR A MULTI GENERATIONAL FAMILY TRUST CALLED THE HUGH BANCROFT JR. TRUST ARTICLE 3RD. I SPEND ABOUT 25 HOURS PER BUSINESS WEEK ON TRUSTEE BUSINESS. THIS TRUST IS NOT A CLIENT OF CAPROCK. I ALSO MANAGE A ROYALTY ACQUISITION INVESTMENT BUSINESS CALLED TIFFMARK THAT MAKES INVESTMENTS FOR MYSELF AND MY FAMILY IN ROYALTY INVESTMENTS. I SPEND LESS THAN 1 HOUR A WEEK ON THIS BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-27 |
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