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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-10-06 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 06/2005 | 04/2018 |
| Ally Invest Securities Llc | Charlotte | NC | 02/2021 | Present |
| Unemployed | Charlotte | NC | 03/2020 | 02/2021 |
| Axa Advisors, Llc | Charlotte | NC | 04/2018 | 03/2020 |
Gifted Intellekts, Not Investment Related. 9011 Harwood Knoll Drive Charlotte NC 28214. Consultant. 01/01/2022. 20 hrs/month. Music artist management and artist development. Ally Invest Advisors. Investment Related. 601 S Tryon Street Charlotte NC 28202. Manager - Business Line Learning and Development. Dually licensed. 01/01/2023. 0-20 hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include creating training materials and reference knowledge articles for Ally Invest Advisors. Ally Bank. Not Investment Related. 601 S Tryon Street Charlotte NC 28202. Manager - Business Line Learning and Development. 01/01/2022. Hours per month vary. Facilitate training for Ally Bank.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-22 |
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