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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-08-05 |
Branch Locations
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
122 East Main Street, Albemarle, NC 28128 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Capital Guardian, Llc | Albermarle | NC | 03/2010 | 07/2017 |
| Capital Guardian Wealth Management, Llc | Albermarle | NC | 03/2010 | 07/2017 |
| Stonex Securities Inc. | Albermarle | NC | 07/2017 | Present |
| Stonex Advisors Inc. | Albermarle | NC | 07/2017 | Present |
1)Sparger Investments 122 East Main St, Albemarle, NC 22001 DBA for business Investment related Owner 08/2008 160 hours spent per month, 8 hrs during market hours 2) Stanly Community College Foundation - 141 College Dr. Albemarle, NC 28001 Nature of Business: Advocate for the Stanly Community College, participate in fund raising activities Investment Related: No Business Position: Board Member Business Duties: 4 Meetings per year, Golf tournament in May Business Start Date: 04/11/2023 Approximately one hour spent on this OBA monthly, with one hour spent during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-10-21 |
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