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111 Center St, Little Rock, AR 72201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-07-10 |
| TX | RA | APPROVED | 2017-07-10 |
Branch Locations
101 S. Stratford Road, Winston-Salem, NC 27104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | Winston Salem | NC | 03/2008 | 07/2017 |
| Morgan Stanley Smith Barney | Winston-Salem | NC | 06/2009 | 07/2017 |
| Stephens Inc. | Winston-Salem | NC | 07/2017 | 05/2022 |
| Stephens Inc. | Winston-Salem | NC | 05/2022 | Present |
Estate of Harold Roy Kiermaier - not investment related -c/o Bennett & west PLLC, 607 S. Main St., King, NC 27201 - July 2024 - Co Executor (25% beneficiary) - Fathers Estate - 4 to 8 hours per month devoted during lunch hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-09 |
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