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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2026-03-06 |
Branch Locations
701 Pike Street Suite 2100, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Phoenix | AZ | 09/2017 | 08/2018 |
| El Patio De Cuba | Surfers Paradise | 01/2017 | 05/2017 | |
| Cre-Banyans On The Ridge/Fireside Grille | Pullman | WA | 04/2011 | 12/2016 |
| Southfork Public House | Pullman | WA | 08/2016 | 12/2016 |
| Washington State University Art Department | Pullman | WA | 08/2016 | 12/2016 |
| Taco Del Mar | Pullman | WA | 05/2016 | 07/2016 |
| Unemployed | Las Vegas | NV | 08/2017 | 09/2017 |
| Unemployed | Southport, Queensland | 05/2017 | 08/2017 | |
| Unemployed | Bellevue | WA | 08/2018 | 02/2019 |
| Robert W. Baird | Milwaukee | WI | 02/2019 | 03/2020 |
| Ubs Financial Services Inc. | Nashville | TN | 07/2020 | 06/2021 |
| Unemployed | Spokane Valley | WA | 03/2020 | 07/2020 |
| Morgan Stanley | Honolulu | HI | 06/2021 | 07/2022 |
| Bar Louie | Nashville | TN | 10/2020 | 10/2020 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 05/2023 | 03/2026 |
| The Vic Public House | Nelson | 02/2023 | 02/2023 | |
| The Claddagh Irish Pub | Auckland | 10/2022 | 12/2022 | |
| The Recruitment Network | Auckland | 09/2022 | 12/2022 | |
| Unemployed | Las Vegas | NV | 02/2023 | 05/2023 |
| Unemployed | Las Vegas | NV | 07/2022 | 09/2022 |
| Unemployed | Auckland | 12/2022 | 02/2023 | |
| Oppenheimer & Co. Inc. | Seattle | WA | 03/2026 | Present |
RENTAL PROPERTY, INV RELATED, HONOLULU, HI, 50% OWNERSHIP, START: 3/1/2025, 2 HOURS A MONTH, 0 HOURS DURING TRADING, OWNER.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-25 |
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