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9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-23 |
Branch Locations
Lincolnton, NC • United States
9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
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 |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 11/2007 | 01/2017 |
| Bb&T | Charlotte | NC | 03/2018 | 06/2018 |
| Bbtis | Charlotte | NC | 03/2018 | 06/2018 |
| Bbtsec | Richmond | VA | 03/2018 | 06/2018 |
| Unemployed | Charlotte | NC | 01/2017 | 02/2018 |
| Wells Fargo Clearing Services Llc | Charlotte | NC | 04/2020 | 06/2021 |
| Unemployeed | Charlotte | NC | 07/2018 | 04/2020 |
| Alight Solutions | Lincolnshire | IL | 06/2021 | 01/2023 |
| Alight Financial Solutions | Charlotte | NC | 06/2021 | 01/2023 |
| Wells Fargo Clearing Services | Charlotte | NC | 01/2023 | 04/2024 |
| Alight Financial Solutions | Lincolnshire | IL | 07/2024 | Present |
RENTAL PROPERTY, INV RELATED, PIGEOUN FORGE, TN, 100% OWNERSHIP, START 9/1/2021, 1 HOUR PER MOHTH, ZERO HOURS DURING TRADING, CABIN RENTAL. WHEELHOUSE VENTURES LLC, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START 5/29/2023, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDING LOT FOR FUTURE HOME.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-23 |
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