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1307 Point Street, Baltimore, MD 21231 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-05-03 |
Branch Locations
Financial Center Two 2220 Briargate Parkway, Colorado Springs, CO 80920 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 08/2016 | 03/2018 |
| Peach Loop | Scottsdale | AZ | 04/2017 | 03/2018 |
| Northern Trust Securities, Inc. | Tempe | AZ | 03/2018 | 10/2023 |
| Northern Trust Bank | Tempe | AZ | 03/2018 | 10/2023 |
| T. Rowe Price | Colorado Springs | CO | 03/2024 | Present |
| Unemployed | Scottsdale | AZ | 10/2023 | 03/2024 |
Self-Employed - Unincorporated Business; 9/30/24; Non-Investment Related; Automotive locksmith; Assist people with unlocking their vehicle when they are locked out; 10 hours per month; 1 hour during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-13 |
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