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340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2022-01-04 |
| LA | RA | APPROVED | 2021-12-23 |
| MO | RA | APPROVED | 2021-12-23 |
| NJ | RA | APPROVED | 2021-12-23 |
| PA | RA | APPROVED | 2021-12-23 |
| TX | RA | APPROVED | 2021-12-23 |
Branch Locations
3 Cityplace Dr Suite 290, St. Louis, MO 63141 • United States
340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | St. Louis | MO | 05/2007 | 11/2017 |
| Lpl Financial Llc | St. Louis | MO | 11/2017 | 12/2021 |
| Aw Securities | St. Louis | MO | 12/2021 | Present |
| Allworth Financial | St. Louis | MO | 12/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-28 |
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