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200 5Th Avenue 4Th Floor, Waltham, MA 02451 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2016 | 04/2018 |
| Northwestern Mutual Investment Services Llc | Houston | TX | 12/2016 | 04/2018 |
| City Of Houston | Houston | TX | 03/2004 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 09/2017 | 04/2018 |
| Wells Fargo Clearing Services Llc | Houston | TX | 04/2018 | 07/2021 |
| Integrated Wealth Concepts, Llc | Waltham | MA | 07/2021 | Present |
1. City of Houston, Not Investment-related, 1201 Dart Street , Houston, TX, USA, 77007, Firefighter, Start Date: 03/01/2004, 24 hrs per week, 0 trading hrs per week, Firefighter, Duties: Firefighter. 2. 07/2021: Integrated Wealth Concepts LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/01/2021 - 160 Hours Per Month/160Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Integrated Wealth Concepts LLC, an independent investment advisor firm. I started this business activity in 07/01/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 07/01/2021 - Integrated Wealth Concepts, LLC - DBA: (Hybrid) Three Cords Wealth Management Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 07/01/2021 - 160 Hours Per Month During Securities Trading. 4. 07/01/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/01/2021 - 10 Hours Per Month/5 Hours During Securities Trading - Time Spent 10% - Fixed annuities, fixed life, LTC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 2017-04-10 |
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