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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-02-11 |
| NV | RA | APPROVED | 2020-10-13 |
| CA | RA | APPROVED | 2020-09-22 |
Branch Locations
120 Country Club Unit 7, Incline Village, NV 89451 • United States
440 Stevens Ave Suite 200, Solana Beach, CA 92067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Carlsbad | CA | 11/2013 | 09/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2020 |
| Prospera Financial Services Inc. | Dallas | TX | 09/2020 | Present |
ARTHUR HOLDINGS LLC, INVESTMENT RELATED - YES; 982 SAND IRON DRIVE, INCLINE VILLAGE, NV 89450; OWNER; LLC FOR EXPENSES; DBA SIERRA PACIFIC WEALTH MANAGEMENT; 10/2020; 180 HOURS PER MONTH; 0 DURING TRADING HOURS; COMPANY THAT I RECEIVE COMPENSATION FROM PROSPERA. THE LAKE TAHOE SCHOOL; INVESTMENT RELATED - NO; 995 TAHOE BLVD, INCLINE VILLAGE NV 89451; PRIVATE SCHOOL; BOARD MEMBER; 02/2024; 4 HOURS PER MONTH; 1 DURING TRADING HOURS; REVIEW BUDGET AND CAPITAL ALLOCATIONS FOR SCHOOL BUDGET.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-09-18 |
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