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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2025-01-01 |
| WI | RA | APPROVED | 2025-01-01 |
| IL | RA | APPROVED | 2024-04-04 |
Branch Locations
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
10 Terrace Court Suite 103, Madison, WI 53718 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Belr Capital, Llc | Milwaukee | WI | 01/2017 | 06/2019 |
| Bronfman E.L. Rothschild, Lp | Milwaukee | WI | 01/2017 | 06/2019 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 06/2019 | 10/2025 |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
| Robert W. Baird | Milwaukee | WI | 04/2005 | 01/2017 |
1)The Lutheran Home Association, Asssisted Living Nursing Home, Director, Period of Three Years renewable, 8 hours per month - none during trading hours, no compensation, no conflict of interest.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-19 |
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