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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-11-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J And J Construction | Colorado Springs | CO | 06/2015 | 05/2022 |
| North Carefree Bingo | Colorado Springs | CO | 05/2016 | 08/2018 |
| Education | Lindsborg | KS | 08/2018 | 05/2022 |
| Peak View Roofing | Colorado Springs | CO | 05/2020 | 08/2020 |
| Swede Liqour | Lindsborg | KS | 11/2021 | 05/2022 |
| Vanguard Homes | Colorado Springs | CO | 06/2022 | 07/2022 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 2022-11-21 |
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