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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2026-05-12 |
| NM | RA | APPROVED | 2026-01-23 |
| NE | RA | APPROVED | 2026-01-22 |
| NV | RA | APPROVED | 2026-01-21 |
| MO | RA | APPROVED | 2025-11-19 |
| HI | RA | APPROVED | 2025-11-13 |
| TX | RA | APPROVED_RES | 2025-09-30 |
| OK | RA | APPROVED | 2025-09-29 |
| WA | RA | APPROVED | 2025-09-29 |
| ID | RA | APPROVED | 2025-05-22 |
| OR | RA | APPROVED | 2024-10-25 |
| AZ | RA | APPROVED | 2024-08-09 |
| CT | RA | APPROVED | 2024-06-17 |
| FL | RA | APPROVED | 2024-06-10 |
| UT | RA | APPROVED | 2024-01-23 |
| CA | RA | APPROVED | 2023-12-05 |
| CO | RA | APPROVED | 2023-12-04 |
| IL | RA | APPROVED | 2023-12-04 |
| WI | RA | APPROVED | 2023-12-04 |
Branch Locations
24560 Silver Cloud Ct. Suite 201, Monterey, CA 93940-6555 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| O'LEary And Associates | Chicago | IL | 04/2016 | 01/2022 |
| Chicago Stallions Youth Hockey Association | Chicago | IL | 07/2019 | 07/2022 |
| Guardian Insurance Company | Chicago | IL | 09/2021 | 12/2023 |
| Park Avenue Securities | Chicago | IL | 04/2022 | 12/2023 |
| Hilltop Securities Inc. | Monterey | CA | 12/2023 | Present |
1] Chicago North High School Hockey Club; non-investment related; Chicago, IL; Hockey Director; Started 07/2022; 10 hrs/mo; zero hrs/mo during business hours. 2] Monterey Chamber of Commerce Ambassador; non-investment related, 353 Camino El Estero Monterey, CA 93940, Ambassador, Chamber of Commerce, started 1/7/2025, 5 hrs/month non-business hours, 0 hrs/month Trading hours, attend some meetings and events throughout the year to help greet and network with other Chamber of Commerce members. 3] Chicago Hockey Institute, LLC, non-investment related, 201 N Westshore Drive #908 Chicago, IL 60601, LLC to receive payment for consulting for Hockey Director and possible camps/clinics, Owner, Start date 04/19/2017, 10 hrs/mo non-business hours, 0 hrs/month Trading hours. 4] HOUSING RESOURCE CENTER OF MONTEREY COUNTY, NON-INVESTMENT RELATED, 60 W MARKET STREET, NO. 130, SALINAS CA 93901, NOT FOR PROFIT/CHARITY, BOARD MEMBER, START DATE 08/15/2026, 2 HRS/MO NON-BUSINESS, 0 HRS/MO TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-11 |
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