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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-02-25 |
| TN | RA | APPROVED | 2016-09-19 |
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 |
|---|---|---|---|---|
| Financial & Tax Strategies | Maryville | TN | 01/1995 | 09/2016 |
| Capital Guardian, Llc | Belmont | NC | 03/2009 | 09/2016 |
| Prospera Financial Services | Dallas | TX | 09/2016 | Present |
FINANCIAL & TAX STRATEGIES; YES; 224 VILLAGE SQUARE LOUDON, TN 37774; INSURANCE; OWNER/AGENT; 8/1987; 10;0; OFFER FIXED ANNUITIES AND LIFE INSURANCE. TN K-9 SERVICES LLC; INVESTMENT RELATED - NO; 224 VILLAGE SQUARE DR., LOUDEN, TN 37774; DRUG DOG TRAINING; OWNER; START DATE 01/2012; SPENDING 1-9% OF HIS WEEKLY TIME NONE DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-03 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-22 |
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