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801 Barton Springs Rd, Austin, TX 78704 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2025-03-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Turning Point Financial | Frederick | MD | 10/2014 | 04/2024 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 10/2015 | 07/2019 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 04/2015 | 07/2019 |
| Turning Point Financial | Frederick | MD | 07/2019 | 04/2024 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 07/2019 | 01/2023 |
| Rossby Financial, Llc | Melbourne | FL | 08/2024 | 03/2025 |
| Sienna Charles, Llc | Middletown | MD | 04/2024 | 08/2024 |
| Root Financial Partners | Encinitas | CA | 03/2025 | Present |
RegTech Consultant; Yes; 214 N Pointe Ter, Middletown, MD, 21769; Compliance; Consultant; Consultant; Monday, August 26, 2024; 5; 0; Consulting for RegTech companies on compliance; related development.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-07-01 |
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