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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-03-05 |
| AZ | RA | APPROVED | 2018-11-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 08/2014 | 11/2018 |
| Financial Engines Advisors L.L.C. | Phoenix | AZ | 11/2018 | 03/2021 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 03/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2009-08-18 |
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