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Current Employers
Prime Capital Financial

6201 College Blvd. Suite #150, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-01-25
  • TX RA
    APPROVED
    Since 2021-01-25

Branch Locations

11700 Katy Freeway Suite #630, Houston, TX 77079 • United States

6201 College Blvd. Suite #150, Overland Park, KS 66211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Comerica Securities, Inc. Houston TX 08/2015 08/2017
Penn Mutual Life Ins Co Horsham PA 11/2017 02/2019
Hornor Townsend & Kent Inc Horsham PA 11/2017 02/2019
Prime Capital Investment Advisors, Llc Overland Park KS 01/2021 Present
Wealth Development Strategies Investment Advisory, Inc Houston TX 01/2018 03/2019
Sphere Wealth Management, Llc Fayetteville AR 02/2018 01/2021
  • 08/2015 → 08/2017
    Comerica Securities, Inc.
    Houston, TX
  • 11/2017 → 02/2019
    Penn Mutual Life Ins Co
    Horsham, PA
  • 11/2017 → 02/2019
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 01/2021 → Present
    Prime Capital Investment Advisors, Llc
    Overland Park, KS
  • 01/2018 → 03/2019
    Houston, TX
  • 02/2018 → 01/2021
    Sphere Wealth Management, Llc
    Fayetteville, AR
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-25
S63 Uniform Securities Agent State Law Examination 2008-10-31
  • S65 Uniform Investment Adviser Law Examination
    2016-04-25
  • S63 Uniform Securities Agent State Law Examination
    2008-10-31

View on SEC IAPD

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