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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-04-07 |
| AZ | RA | APPROVED | 2018-12-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Engines Advisors L.L.C. | Phoenix | AZ | 10/2018 | 09/2021 |
| Avalon Preferred Properties | Scottsdale | AZ | 08/2002 | Present |
| Heritage Success Realty | Scottsdale | AZ | 11/2003 | Present |
| Caring.COm | San Mateo | CA | 11/2017 | 10/2018 |
| Cornerstone Partners | Scottsdale | AZ | 08/2002 | 02/2017 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 09/2021 | Present |
(1) HERITAGE SUCCESS REALTY, LLC: INVESTMENT-RELATED: YES ADDRESS: SCOTTSDALE, AZ 85250; NATURE: RESIDENT REAL ESTATE SALES POSITION: REAL ESTATE ASSOCIATE BROKER; START DATE: 12/09/2024; NUMBER OF HOURS PER MONTH: 5 HRS; SECURITIES TRADING HOURS: 0 HRS; DESCRIPTION: RETAIL RESIDENTIAL PURCHASE/SALE TRANSACTIONS. (2) AVALON PREFERRED PROPERTIES LLC INVESTMENT-RELATED: NO ADDRESS: SCOTTSDALE, AZ 85250 NATURE: HOLDS 4 RENTAL PROPERTIES POSITION: OWNER/SOLE PROPRIETORSHIP: START DATE: 8/30/2002; NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 DESCRIPTION; PAY BILLS; ARRANGE FOR MAINTENANCE, REPAIRS AND LEASING WITH OUTSIDE COMPANIES/CONTRACTORS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-29 |
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