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12728 State Line Rd., Leawood, KS 66209 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2021-10-18 |
| MO | RA | APPROVED | 2021-10-15 |
| TX | RA | APPROVED_RES | 2021-10-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 07/2015 | 10/2021 |
| Normandy Investment Advisors | Leawood | KS | 10/2021 | Present |
1. Owner, Caswell & Associates, a private entity established to facilitate securities, advisory, and insurance business operations; 08/21/2017; Approximately 100% time spent during securities trading hours per month; Conducted at office location; Investment related. 2. Fixed Insurance Sales, as an Agent; Conducted at office location; Ash Brokerage; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-03-19 |
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