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6400 C Street Sw, Cedar Rapids, IA 52499 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2018-12-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wag Labs Inc | Denver | CO | 11/2016 | 01/2017 |
| Scottrade | Westminster | CO | 01/2017 | 03/2018 |
| Unemployed | Denver | CO | 05/2016 | 10/2016 |
| Unemployed | Denver | CO | 04/2018 | 09/2018 |
| Wag Labs | Denver | CO | 10/2018 | 10/2018 |
| Transamerica Retirement Solutions | Denver | CO | 11/2018 | Present |
| Transamerica Investors Securities Corporation | Denver | CO | 11/2018 | Present |
KATIES KLOZET - START DATE: 07/07/2015 - WORK 0 HOURS/WEEK AS THE CEO; APP DEVELOPMENT - RUNNING ENTIRE COMPANY - DURING NON TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-12-07 |
| S66 | Uniform Combined State Law Examination | 2014-05-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-11 |
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