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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2020-03-06 |
| AZ | RA | APPROVED | 2020-03-04 |
| TX | RA | APPROVED | 2020-03-02 |
Branch Locations
2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467 • United States
Mesa, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 11/2013 | 10/2016 |
| Edward Jones | Tempe | AZ | 11/2016 | 02/2017 |
| Advisor Group | Phoenix | AZ | 04/2017 | 06/2018 |
| Morgan Stanley | Phoenix | AZ | 06/2018 | 03/2020 |
| Rbc Capital Markets, Llc | Phoenix | AZ | 03/2020 | Present |
(1) NAME OF ENTITY: For the Love of the Lake ADDRESS: 1152 N Buckner Blvd Unit 123 Dallas TX 75218 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: 01/01/2025 CAPACITY: Board of Directors DUTIES: I'm a board member who will help in fundraising efforts. This is a really small non-profit organization that's sole purpose is to help maintain White Rock Lake. Biggest things we do are organize Second Saturday trash pick-up, tree dedications, and Adopt-a-Shoreline program (companies and individuals can commit to keeping specific shorelines clean). HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-19 |
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