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Account
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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-10-30 |
Branch Locations
18500 W Corporate Dr Suite 120, Brookfield, WI 53045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial | Houston | TX | 10/2013 | 10/2017 |
| Wells Fargo Funds Distributor, Llc | Menomonee Falls | WI | 10/2017 | 10/2021 |
| Wells Fargo Funds Management, Llc | Menomonee Falls | WI | 10/2017 | 10/2021 |
| Allspring Funds Distributor, Llc | Menomonee Falls | WI | 11/2021 | 03/2024 |
| Drake & Associates | Waukesha | WI | 06/2024 | 10/2025 |
| Mariner | Overland Park | KS | 10/2025 | Present |
OWNED IN PERSONAL NAME POSITION: NA NATURE: Own an investment property at above address, in my personal name. also rent out separate unit of home address (duplex) ADDRESS: 1952 South 68th St, West Allis WI 53219, United States, also 3302 South 53rd St, Milwaukee WI 53219 INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 (for 68th st), 05/012024 (for 53rd St duplex) DESCRIPTION: collecting rent making needed repairs finding tenants
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2009-07-15 |
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