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4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-07-14 |
| CO | RA | APPROVED | 2026-07-14 |
| NV | RA | APPROVED | 2026-07-14 |
| OR | RA | APPROVED | 2026-07-14 |
| TX | RA | APPROVED | 2022-08-22 |
| AZ | RA | APPROVED | 2018-03-30 |
Branch Locations
16150 N Arrowhead Fountains Center Dr Suite 200, Peoria, AZ 85382 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
901 N Green Valley Pkwy Suite 100, Henderson, NV 89074 • United States
16435 N Scottsdale Rd. #175, Scottsdale, AZ 85254 • United States
4725 S Monaco St. Suite 110, Denver, CO 80237 • United States
4800 Meadows Rd, Lake Oswego, OR 97035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gateway Financial | Phoenix | AZ | 07/2005 | Present |
| Foundations Investment Advisors, Llc | Scottsdale | AZ | 02/2018 | Present |
| Asset Preservation Tax & Retirement Services | Phoenix | AZ | 09/2018 | Present |
| Asset Preservation Wealth & Tax | Surprise | AZ | 07/2018 | Present |
| Alpha1 Tax & Wealth Management | Denver | CO | 05/2022 | Present |
(1) 09/2018 - Asset Preservation Wealth & Tax - Investment Related - 11323 W Bell Rd. #301, Surprise, AZ 85378; Managing Member/President, and Independent Insurance Agent; Approx. 90 hours/mo. during trading hours; Tax, Insurance, and Estate Planning Services; Duties include providing insurance and annuity solutions, reviewing plans with clients, and other ownership responsibilities; (2) 05/2022 - Alpha1 Tax & Wealth Management - Investment Related - 4725 S Monaco St. #110, Denver, CO 80237; President & Independent Insurance Agent; Approx. 30 hours/mo. during trading hours; Alpha1 Tax & Wealth Management offers Tax, Insurance, and Estate Planning solutions to retail clients; Duties include reviewing and providing insurance and annuity solutions to clients; insurance licensed CA 01/2000
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-14 |
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