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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-20 |
| GA | RA | APPROVED | 2024-04-17 |
| SC | RA | APPROVED | 2024-04-02 |
| NC | RA | APPROVED | 2022-07-21 |
Branch Locations
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
1901 Roxborough Rd. Suite 300, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 08/2015 | 07/2022 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 07/2022 | 10/2025 |
| Kestra Investment Services, Llc | Charlotte | NC | 08/2022 | Present |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
Business Name: NFP POSITION: Financial Advisor NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/10/2022 ADDRESS: 1901 Roxborough Road, Suite 300, Charlotte NC 28211, United States DESCRIPTION: I am part of the wealth management team for NFP. I am registered as part of their RIA, called NFP Retirement. I also have my NC insurance license for Life and Accident/Health. This would be through NFP as well. I work for NFP.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-09-24 |
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