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3945 Freedom Circle, Santa Clara, CA 95054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-11-01 |
| VA | RA | APPROVED | 2018-11-01 |
Branch Locations
4000 Legato Road 8Th Floor, Fairfax, VA 22033 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edelman Financial Services Llc | Fairfax | VA | 05/1999 | 11/2018 |
| Ef Legacy Securities, Llc | Henrico | VA | 04/2016 | 10/2018 |
| Financial Engines Advisors L.L.C. | Sunnyvale | CA | 11/2018 | Present |
(1) NS ARBORS INVESTOR 1 LLC POSITION: PASSIVE INVESTOR; NATURE: EXISTING RENTAL APARTMENTS; INVESTMENT RELATED: NO; NUMBER OF HOURS: 0; SECURITIES TRADING HOURS: 0; START DATE: 12/09/2016; ADDRESS: 1420 BEVERLY RD, SUITE 240, ICAP LC c/o NORTON SCOTT LLC, ATTN: MICHAEL. W. SCOTT, MCLEAN VA 22066 DESCRIPTION: NO DUTIES - PASSIVE INVESTOR ONLY (2) CATAWBA VENTURES INC LLC: POSITION: Passive Investor NATURE: Casino Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2017 ADDRESS: 582 Arson Ridge Ct, Great Falls VA 22066, United States; DESCRIPTION: passive investor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-09 |
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