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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-06-03 |
| KY | RA | APPROVED | 2022-09-10 |
Branch Locations
3094 Harrodsburg Road Suite 202, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 07/2021 | 07/2024 |
| Student (Eastern Kentucky University) | Richmond | KY | 08/2014 | 05/2018 |
| Sherwin Williams Paint Company | Middlesboro | KY | 12/2018 | 07/2021 |
| Rod Hatfield Of Winchester | Winchester | KY | 06/2018 | 09/2018 |
| Buffalo Wild Wings | Richmond | KY | 09/2018 | 12/2018 |
| Edelman Financial Engines | Santa Clara | CA | 07/2024 | Present |
1)Commonwealth Thoroughbreds LLC; INVESTMENT RELATED: No; ADDRESS: 101 West Loudon Ave, Suite 210; NATURE: Racehorse Ownership They offer fractional shares in horses allowing you to participate in the horse's career via winnings-stud fees-sale of horse (if this ever occurs). They offer multiple horses you can participate in, and this is ongoing.; POSITION: Investor; START DATE: 10/01/2025; NUMBER OF HOURS/MONTH: 0 Hrs.; HOURS/MNTH DURING SECURITIES TRADING HOURS: 0 Hrs.; DUTIES: No specific duties or powers. Simply purchased shares of minority ownership in racehorse offering.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-10 |
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