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319 Miller Avenue, Mill Valley, CA 94941 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2005-12-20 |
| TX | RA | APPROVED | 2005-12-09 |
| CA | RA | APPROVED | 2004-02-10 |
Branch Locations
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 |
|---|---|---|---|---|
| Prospera Financial Services, Inc | Dallas | TX | 06/2004 | 09/2016 |
| Wrapmanager | Mill Valley | CA | 05/2000 | Present |
General Partner of NVBG, LLC, created for real estate purchase November 2016. Not an investment-related business. Private address on file. 5 hours per month managing lease, none during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-11 |
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