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600 S. Tyler Suite 1515, Amarillo, TX 79101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-02-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Argentus Advisors | Gig Harbor | WA | 05/2010 | 06/2017 |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2014 | Present |
| Spring Capital Management | Amarillo | TX | 02/2017 | Present |
1) the name of the other business: Insurance Sales; whether the business is investment-related: No; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Licensed to sell FIXED INSURANCE AND ANNUITIES, INCLUDING EQUITY INDEXED ANNUITIES; the start date of your relationship: 2007; the approximate number of hours/month you devote to the other business: 2-10; the number of hours you devote to the other business during securities trading hours: 2-10; and briefly describe your duties relating to the other business: Insurance sales. || 2) the name of the other business: Sage Asset Management, LLC; whether the business is investment-related: Yes; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Owner. Operates under Spring Capital Management and is the name under which advisory services are offered by Bob Rathbun; the start date of your relationship: 2010; the approximate number of hours/month you devote to the other business: all; the number of hours you devote to the other business during securities trading hours: All; and briefly describe your duties relating to the other business: Owner of LLC. 3. WTAMU College of Fine Arts and Humanities. Not Investment Related. 2501 4th Avenue, Canyon, TX 79015. University College. Advisory Board Member. 2015. 10 Hrs/Mo; 4 Hrs During Trading Hours. Advisory Board Member.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-11-16 |
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