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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2025-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cutter & Company, Inc. | Dayton | OH | 03/2009 | 05/2025 |
| Prospera Financial Services, Inc. | Dayton | OH | 05/2025 | Present |
1-)IMPRESSION SALON & DAY SPA,LLC, CFO, NOT INVESTMENT RELATED, ENGLEWOOD, OH, 4HOURS PER QUARTER, TAX PREP. 2-)D&G RANGE LINE PROPERITES, INC., NOT INVESTMENT RELATED, 3HRS/MO, WEST MILTON, OH, RE PARTNERSHIP OWNS SALON BUILDING REAL ESTATE MANANAGEMENT (3 PROPERTIES); 1HR/MONTH DURING TRADING HOURS. 3-)CORPORATE MORALITY ACTION CENTER, INC.; NOT INVESTMENT RELATED; 2121 UPPER BELLBROOK RD., XENIA, OH 45385; TO PROVIDE EDUCATION TO THE PUBLIC REGARDING CORPORATION INFLUENCE ON MORALITY; ON BOARD OF DIRECTORS; 1 HOUR/YR LUNCH MEETINGS ARE DURING TRADING HRS. 4-)05/22/2013- SJ WOLFE INVESTMENTS, INC. / DBA ONLY / 100% OF TIME / DAYTON, OH 5-)03/03/14-KSE PARTNERS, / GENERAL MANAGER FOR INVESTMENT PARTNERSHIP FOR HIS CHILDREN FOR INVESTMENT/ACCOUNTING TRACKING/ TROY, OH/ TAX PURPOSES; MAKES INVESTMENT DECISIONS FOR CHILDREDN; COMPENSATION FROM COMMISSIONS; 0-1 HR PER WEEK.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1990-10-02 |
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