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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-10-14 |
| CA | RA | APPROVED | 2020-09-29 |
Branch Locations
2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Phoenix | AZ | 09/2017 | 05/2019 |
| Alorica | Mesa | AZ | 01/2017 | 09/2017 |
| Alorica | Mesa | AZ | 07/2012 | 01/2017 |
| Mesa Community College | Gilbert | AZ | 08/2013 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 07/2019 | Present |
| Bank Of America, N.A. | Chandler | AZ | 09/2020 | Present |
I*133069 For profit or not for profit: For-Profit Organization Name of outside business organization: Uber Investment related: N Address of business: TEMPE, Arizona 85282 Nature of business: Corporation Position, title, association: Part-Time, Start date of relationship: 9/12/2020 Number of hours devoted: 40 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Delivering food and/or rides to customers. I*1141274 For profit or not for profit: Entity For Profit Name of outside business organization: Rooke LLC Investment related: N Address of business: Scottsdale, Arizona, 85251 Nature of business: ["Corporation"] Position, title, association: ["Employee"], Start date of relationship: 1/13/2023 Number of hours devoted: 4 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: , Security Guard
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2018-02-23 |
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