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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-03-07 |
| OH | RA | APPROVED | 2023-03-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2017 | 09/2018 |
| Enterprise Holdings | Albuquerque | NM | 04/2016 | 06/2017 |
| Builder Window Fashions | Albuquerque | NM | 10/2013 | 05/2017 |
| University Of New Mexico | Albuquerque | NM | 08/2013 | 12/2016 |
| Morgan Stanley | Albuquerque | NM | 10/2018 | 06/2020 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 11/2018 | 06/2020 |
| Wells Fargo Advisors Financial Network, Llc | Albuquerque | NM | 06/2020 | 01/2022 |
| Raymond James Financial Services | Albuquerque | NM | 01/2022 | 02/2023 |
| Raymond James Financial Services Advisors | Albuquerque | NM | 01/2022 | 02/2023 |
| Prevender Financial Services, Llc | Albuquerque | NM | 01/2022 | 02/2023 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Columbus | OH | 02/2023 | Present |
| Acequia Investment Group | Albuquerque | NM | 06/2020 | 01/2022 |
| Bank Of America, N.A. | Columbus | OH | 03/2023 | Present |
I*1544272 For profit or not for profit: Entity For Profit Name of outside business organization: n/a Investment related: N Address of business: Lewis Center, Ohio, 43035, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 11/1/2023 Number of hours devoted: 10 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Have not yet started this business activity, is only an idea right now. My wife and I would like to sell items via amazon storefront. FBA model / retail arbitrage. Would be something we engage in on the weekends. Net profits would be reinvested in inventory. My role would be inventory management. She would handle everything else. Would like to set up an LLC for this activity. Again, haven't started any actual activity, just curious at this point if it is an allowable OBA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-06 |
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