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340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-07-06 |
| MO | RA | APPROVED | 2021-12-21 |
| TX | RA | APPROVED_RES | 2021-12-21 |
Branch Locations
340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
3 Cityplace Dr Suite 290, St. Louis, MO 63141 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Saint Louis | MO | 05/2007 | 11/2017 |
| Lpl Financial Llc | Saint Louis | MO | 11/2017 | 12/2021 |
| Aw Securities | St. Louis | MO | 12/2021 | Present |
| Allworth Financial | St. Louis | MO | 12/2021 | Present |
Phoenix Art Museum - not investment related - Phoenix, AZ - Trustee providing advice and guidance to director and staff of art museum - 1 hour per week starting 1/1/2024, not during trading hours and no compensation received. St. Louis Art Museum - not investment related - St. Louis, MO - President of Board of Commissioners providing advice and guidance to director and staff of art museum - 2 hours per week starting 1/1/2024, not during trading hours and no compensation received.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-29 |
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