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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-07-11 |
| TX | RA | APPROVED | 2025-07-09 |
Branch Locations
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gila River Casinos | Chandler | AZ | 10/2023 | Present |
| Adp | Tempe | AZ | 06/2022 | 07/2023 |
| Earnhardt Auto Centers | Chandler | AZ | 06/2017 | 07/2021 |
| Old Chicago Restaurants | Chandler | AZ | 06/2021 | 01/2024 |
| Arizona State University | Tempe | AZ | 01/2020 | 05/2022 |
| Unemployed | Na | AZ | 01/2014 | 05/2017 |
| Charles Schwab & Co., Inc. | Phoenix | AZ | 06/2024 | 01/2025 |
| Morgan Stanley | Scottsdale | AZ | 05/2025 | Present |
*639694 - Gila River Casinos & Resorts; Investment related: No; Chandler, Arizona; Restaurant/Bar/Nightclub; Employee (proprietor, partner, officer, director, employee, trustee, agent); 09/2023; During business hours: 0; After business hours: 80; Customer Service
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 2024-10-23 |
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