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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-02-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce & Smith Inc. | Seattle | WA | 02/2019 | 05/2021 |
| Windermere R.E. Wall St. Group Inc. | Seattle | WA | 06/2017 | 02/2019 |
| Holyrood Asset Management Llc | Seattle | WA | 12/2009 | 05/2017 |
| Bank Of America, N.A. | Seattle | WA | 04/2019 | 05/2021 |
| Sierra Ridge Wealth Management | Seattle | WA | 05/2021 | 01/2026 |
| Lpl Financial Llc | Fort Mill | SC | 07/2025 | 01/2026 |
| Charles Schwab & Co., Inc. | Seattle | WA | 01/2026 | Present |
| Charles Schwab Bank | Seattle | WA | 01/2026 | Present |
1) Thomas Guilfoyle/Business Coach/ Small Business Advisor Group | Investment Related:No||Education|Business Owner|2022-12-24|Less than 20|0|Teaching/Mentoring/Coaching small businesses in the local maritime industry. Not investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-31 |
| S65 | Uniform Investment Adviser Law Examination | 1996-06-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-28 |
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