CRD# 6805568
Edward Jones
CRD# 1553730
Financial Security Investment Management Corporaton
CRD# 5339011
Lpl Financial LLC
The CDFA certification is held by financial advisors who specialize in divorce. CDFAs act as advisors to divorce lawyers, or as mediators. CDFAs use their knowledge of tax law, asset distribution, and financial planning to reach equitable settlements.
The CDFA certification is held by financial advisors who specialize in divorce. CDFAs act as advisors to divorce lawyers, or as mediators. CDFAs use their knowledge of tax law, asset distribution, and financial planning to reach equitable settlements.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| First Allied Securities, Inc. | Tulsa, OK | May 2010 - Current | 10 |
| Sws Financial Services | Tulsa, OK | Jun 1994 - May 2010 | 15 |
| S&s Wealth Management, LP | Tulsa, OK | Feb 2004 - Dec 2008 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1987 |
| S7 | General Securities Representative Examination (GS) | Aug 1990 |
| S65 | NASAA Investment Advisors Law Examination | May 2001 |
| S24 | General Securities Principal Examination (GP) | Jul 2015 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- OK
- TX
- AZ
- CT
- CO
- CA
- MI
- ME
- NY
- IL
- NC
- PA
- VA
- DC
- MD
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Total Assets Under Management153MILLIONS
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Total Number of Accounts349ACCOUNTS
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Average Account Value$437,743
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
CA, CO, FL, KS, MI, NC, OK, TX
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