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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-02-05 |
Branch Locations
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 |
|---|---|---|---|---|
| Baker Tilly Capital, Llc | Madison | WI | 02/2007 | 06/2019 |
| Bronfman E.L. Rothschild Lp | Madison | WI | 05/2013 | 06/2019 |
| Bronfman E.L. Rothschild Capital, Llc | Madison | WI | 03/2016 | 06/2019 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 06/2019 | 10/2025 |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
I am currently employed: 1) as a Staff Member at Bowling Ball Manufacturer a NON Investment related entity; devote 8-12 hours per moth all outside trading hours; compensation is less than 10% with no conflict of interest. 2) as a Treasurer/Stewardship Board and Treasurer/Foundation Committee at DOOR CREEK Church, a Religous Organization - NON Investment Related; devote 8 hours per month for each all outside trading hours; receive no compensation and there is no conflict of interest.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-13 |
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