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2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-18 |
| AZ | RA | APPROVED | 2012-01-25 |
Branch Locations
2812 N. Norwalk Ste 103, Mesa, AZ 85215 • United States
Gilbert, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tribeca Financial, Llc | Mesa | AZ | 09/2008 | Present |
1. INDEPENDENT INSURANCE AGENT; 2. SW WEALTHCARE SERVICES, LLC; FINANCIAL PLANNER - INDEPENDENT AFFILIATE; INVESTMENT RELATED; 77 WEST UNIVERSITY DRIVE, MESA, AZ 85201; FINANCIAL PLANNING; 10/HRS PER WEEK; 3/HRS PER WEEK SPENT DURING SECURITIES TRADING HOURS. 2. Shorts Financial Services, LLC; Member/Manager; Investment related: Yes; 2514 E Sierra Madre Ave Gilbert AZ 85296 USA; Duties: To manage, conduct and operate all company business; 2017-12-07; Hours per month devoted to business during trading hours: 160; Hours per month devoted to business outside trading hours: 40; Percentage of total yearly compensation expected to be derived from the business: 100;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-10-22 |
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