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1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-06-21 |
| TX | RA | APPROVED | 2019-06-21 |
Branch Locations
1450 Brickell Avenue Suite 2610, Miami, FL 33131 • United States
727 W Hargett Street Suite 211, Raleigh, NC 27603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Raleigh | NC | 05/2000 | 12/2019 |
| Bank Of America, N.A. | Raleigh | NC | 07/2011 | 12/2019 |
| Sanctuary Securities, Inc. | Raleigh | NC | 12/2019 | Present |
| Sanctuary Advisors, Llc | Raleigh | NC | 12/2019 | Present |
(1) Name of business: NC State Education Assistance Authority Address of the business: 10 TW Alexander Dr., Research Triangle Park, NC. Nature of the business: General oversight and govenance of Authority. Your position, title, or relationship with the business: Board member. Is the business investment-related: No Approximate number of hours/month you devote to the other business: 1 Number of hours you devote to the other business during securities trading hours: 3 per quarter. Start date of your relationship: January, 2018 (2) Name: Fish Hill & Jackson, LLC Position: partner Nature: Real Estate LLC Investment Related: Yes Hours: 1 Securities Trading Hours: 1 Start Date: 01/01/2022 Address: Suite 211, Raleigh NC 27603, United States Description: partner personally back financials of LLC (3) Name: North Carolina Banking Commission Position: board member Nature: The State Banking Commission supervises, directs and reviews the activities of the Office of the Commissioner of Banks under the North Carolina Banking Laws. The State Banking Commission, which consists of the State Treasurer and 14 appointed members, meets routinely to review any matters before the Office of the Commissioner of Banks. Investment Related: No Hours: 2 Securities Trading Hours: 2 Start Date: 04/01/2023 Address: 316 W. Edenton Street, Raleigh NC 27603, United States Description: The State Banking Commission supervises, directs and reviews the activities of the Office of the Commissioner of Banks under the North Carolina Banking Laws. The State Banking Commission, which consists of the State Treasurer and 14 appointed members, meets routinely to review any matters before the Office of the Commissioner of Banks.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-29 |
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