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190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-10-02 |
Branch Locations
16100 N 71St Street Suite 190, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2008 | 02/2018 |
| Sonora Investment Management Llc | Phoenix | AZ | 02/2018 | 10/2021 |
| Sonora Investment Management Group, Llc | Tucson | AZ | 10/2021 | Present |
| Focus Partners Wealth, Llc | Boston | MA | 10/2025 | Present |
Name of Business: R&E GARGOL PROPERTIES, LLC. (RENTAL PROPERTY) Investment-related: Real Estate Address: PHOENIX, AZ Position: Landlord/Owner Start date: 04/2015 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote during securities trading hours: 0 Attorneys Real Estate 8930 E Raintree Dr #100, Scottsdale, AZ 85260 (480) 767-6900 REAL ESTATE LICENSE HELD & MAINTAINED Start date: 04/2015 Approximate number of hours/month you devote to the other business: 0 Number of hours you devote during securities trading hours: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-11 |
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