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100 Coliseum Drive, Cohoes, NY 12047 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-03-27 |
Branch Locations
609 Main Street Suite 2100, Houston, TX 77002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 03/2014 | 03/2018 |
| Northwestern Mutual Investment Services Llc | West Hartford | CT | 03/2014 | 11/2017 |
| Wells Fargo Bank, Na | Houston | TX | 05/2018 | 11/2020 |
| Wells Fargo Clearing Services, Llc | Houston | TX | 05/2018 | 11/2020 |
| United Capital Financial Advisers, Llc | Newport Beach | CA | 11/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-04 |
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