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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-08-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc. | Laguna Hills | CA | 03/2017 | 07/2017 |
| Bny Mellon | Los Angeles | CA | 08/2013 | 09/2016 |
| Transamerica Financial Advisors, Inc. | Orange | CA | 02/2015 | 12/2016 |
| Transamerica Financial Advisors, Inc. | Laguna Hills | CA | 11/2017 | 05/2018 |
| Next Financial Group, Inc. | Houston | TX | 05/2018 | 03/2019 |
| World Financial Group, Inc. | Laguna Hills | CA | 02/2015 | 05/2018 |
| Morgan Stanley | Houston | TX | 03/2019 | 07/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Woodlands | TX | 07/2021 | Present |
Rita Swann Separate Property Trust Personal trust - have a couple of security investments 1721 Potomac Drive, Apt. # A, Houston, TX 77057 Personal trust to protect assets Trustee 1/22/2014 5/month none maintain value of my trust
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-12 |
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