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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2022-04-06 |
Branch Locations
490 North 31 St Street Suite 217, Billings, MT 59101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| A I M Distributors, Inc. | Houston | TX | 12/1998 | 05/2019 |
| Aim Private Asset Management, Inc. | Houston | TX | 04/2002 | 05/2019 |
| Invesco Advisers, Inc. | Atlanta | GA | 01/2010 | 05/2019 |
| First Financial Equity Corporation | Billings | MT | 06/2019 | Present |
| Royal Alliance Associates, Inc. | Billings | MT | 04/2022 | Present |
| Ridgeline Wealth Partners | Billings | MT | 03/2022 | Present |
1) RIDGELINE WEALTH PARTNERS POSITION: Insurance agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/08/2022 ADDRESS: 490 North 31st Street, Suite 217, Billings MT 59101, United States DESCRIPTION: Insurance Sales and Service for multiple carriers 2) HEADWATERS CAPITAL LLC POSITION: I am the president of the entity. NATURE: This is an LLC that I set up at the recommendation of my CPA. This is the structure under which i pay the taxes on the income I earn while working at a 1099 contractor for Osaic. There is no other business purpose for the entity. I don't market under the name or provide any products or services. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 251 Annandale Rd, Billings MT 59105-3554, United States DESCRIPTION: I am the dirctor/president of the LLC. As I described above, this is nothing more than the legal structure under which I report and pay taxes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1999-03-05 |
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