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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2021-08-03 |
| CA | RA | APPROVED | 2019-04-03 |
| TX | RA | APPROVED_RES | 2019-04-03 |
Branch Locations
25220 Hancock Ave Suite 300, Murrieta, CA 92562 • United States
804 South Street Suite #2, Rapid City, SD 57701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Temecula | CA | 08/2008 | 04/2019 |
| Bank Of America, N.A. | Temecula | CA | 09/2009 | 04/2019 |
| Stifel Nicolaus & Co Inc | Murrieta | CA | 04/2019 | Present |
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HAWK PROPERTIES LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: RAPID CITY, SOUTH DAKOTA 57701 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 6/1/2012 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTIES. 2. Hawk Properties LLC; 7975 Meadowview Ct Rapid City SD 57702;Rental Properties;Partner;pay bills; 3/1/10;2.00 Hour(s) Per Month; not during securities trading hours; investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-26 |
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