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2801 Via Fortuna Suite 250, Austin, TX 78746 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-01-08 |
Branch Locations
2801 Via Fortuna Suite 250, Austin, TX 78746 • 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 |
|---|---|---|---|---|
| Planning Works | Austin | TX | 06/2002 | Present |
| Smart Money Group, Llc | Austin | TX | 08/2016 | 12/2017 |
| Calton & Associates, Inc. | Austin | TX | 08/2016 | 04/2020 |
| Waterloo Capital Management | Austin | TX | 01/2018 | Present |
NO. 1 - NAME OF BUSINESS: WATERLOO CAPITAL LP. INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: INVESTMENT ADVISORY FIRM. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE. START DATE: JANUARY 2018. HOURS PER MONTH: 120. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 120. DUTIES/RESPONSIBILITIES: PROVIDES INVESTMENT ADVISORY SERVICES. DBA FOR INVESTMENT ADVISORY SERVICES. NO. 2 - NAME OF BUSINESS: IOTA OF CHI OMEGA FRATERNITY. INVESTMENT RELATED. ADDRESS: 2711 RIO GRANDE ST AUSTIN TX 78701. NATURE OF BUSINESS: NON-PROFIT SORORITY HOUSE CORPORATION. POSITION/TITLE/RELATIONSHIP: BOARD MEMBER. START DATE: 1998. HOURS PER MONTH: 2. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 2. DUTIES/RESPONSIBILITIES: PROVIDES OVERSIGHT TO THE TREASURER ON FINANCIAL STATEMENTS AND REPORTING FOR THE ORGANIZATION. PROVIDES GUIDANCE ON OUTSIDE MONEY MANAGEMENT. NO. 3 - NAME OF BUSINESS: PLANNINGWORKS, INC. INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: FINANCIAL PLANNING AND FIXED INSURANCE. POSITION/TITLE/RELATIONSHIP: PARTNER. START DATE: 2002. HOURS PER MONTH: 200. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 100. DUTIES/RESPONSIBILITIES: DBA FOR FULL FINANCIAL PLANNING AND INSURANCE SOLUTIONS. NO. 4 - NAME OF BUSINESS: LISA ALLEN INSURANCE. NON-INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: INSURANCE. POSITION/TITLE/RELATIONSHIP: OWNER/SOLE PROPRIETOR. START DATE: 1983. HOURS PER MONTH: 5-10. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 5-10. DUTIES/RESPONSIBILITIES: SALE OF DISABILITY, LONG TERM CARE, AND LIFE INSURANCE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-19 |
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