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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-03 |
| TN | RA | APPROVED | 2024-09-19 |
Branch Locations
131 3Rd Ave N, Suite 101, Franklin, TN 37064 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ek Riley Investments, Llc | Roseville | CA | 05/2005 | 11/2020 |
| Lpl Financial Llc | Bend | OR | 10/2020 | 04/2021 |
| Prospera Financial Services Inc | Dallas | TX | 04/2021 | Present |
1)07/28/2020 - Cascade Wealth Management - DBA for Prospera Business (entity for Prospera business) - inv rel - at reported business location(s) - start: 10/2020 - 160 hr/mth 2) Handley Enterprises; Investment Related - No; 1005 SW Disk Drive, Suite 101, Bend, OR 97702; Owner; Start Date 06/1994; 0 Hours Per Month; 0 Hours During Trading Hours; Handley Enterprises is used for paying business expenses and payroll.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-16 |
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