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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-07-01 |
| NC | RA | APPROVED | 2025-12-23 |
| TX | RA | APPROVED_RES | 2025-12-04 |
Branch Locations
620 S Tryon St, Charlotte, NC 28255 • United States
Miami, FL • United States
Charlotte, NC • 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Charlotte | NC | 10/2008 | 10/2018 |
| Morgan Stanley Smith Barney | Charlotte | NC | 06/2009 | 10/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2018 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 10/2018 | 12/2025 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 12/2025 | Present |
| Bank Of America, N.A. | Charlotte | NC | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-26 |
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