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14600 Branch St., Omaha, NE 68154 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-04-14 |
| AZ | RA | APPROVED | 2019-11-13 |
| TX | RA | APPROVED_RES | 2019-11-13 |
Branch Locations
182 E 16Th St. Suite D, Yuma, AZ 85364 • United States
14600 Branch St., Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Yuma | AZ | 08/2006 | 11/2019 |
| Private Advisor Group, Llc | Yuma | AZ | 01/2018 | 11/2019 |
| Cwm, Llc | Omaha | NE | 11/2019 | Present |
| Yuma Investment Group Wealth Management | Yuma | AZ | 01/2019 | 01/2025 |
| Yuma & Imperial Valley Wealth Management | Yuma | AZ | 01/2025 | Present |
NAME OF BUSINESS: Downtown Mex, LLC NATURE: Rental property START: 12/2020 POSITION: Investor APPX. HRS/MONTH: 2 PERCENTAGE HRS/MONTH DURING TRADING HOURS: 0 DUTIES: Silent Partner NAME OF BUSINESS: Arizona Community Foundation NATURE: Foundation START: 08/2019 POSITION: Board Member APPX. HRS/MONTH: 2 PERCENTAGE HRS/MONTH DURING TRADING HOURS: 0 DUTIES: Discuss and advise with other board members on how to improve community philanthropy. NAME OF BUSINESS: Sunrise Rotary Club NATURE: Non-profit START: 05/2022 POSITION: Board member APPX. HRS/MONTH: 5 PERCENTAGE HRS/MONTH DURING TRADING HOURS: 2 DUTIES: Rotarian that periodically helps with fund raisers. FIXED INSURANCE NATURE: Insurance START: 09/2022 APPX. HRS/MONTH: 20 PERCENTAGE HRS/MONTH DURING TRADING HOURS: 20 POSITION: INSURANCE AGENT DUTIES: Sells Life, Health, Disability, Annuities & LTC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-05-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-21 |
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