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8 Third Street North, Great Falls, MT 59401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-22 |
| NC | RA | APPROVED | 2020-12-09 |
| CA | RA | APPROVED | 2020-05-21 |
Branch Locations
2901 Douglas Blvd. Suite 255, Roseville, CA 95661 • United States
3540 Toringdon Way Suite 200, Charlotte, NC 28277 • United States
Waxhaw, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. | Roseville | CA | 04/2009 | 05/2020 |
| D.A. Davidson & Co. | Charlotte | NC | 05/2020 | Present |
Self employed, 1400 Rocky Ridge Drive Roseville, CA non-investment related, co-author, start: September 2018, investment related. Time spent: 2 hours/month, none during market hours Responsibilities include promoting and sales of books.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-17 |
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