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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2024-06-21 |
| SC | RA | APPROVED | 2023-11-28 |
| TX | RA | APPROVED | 2023-11-28 |
Branch Locations
320 Broad St, Charleston, SC 29401 • United States
320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corp. | Tampa | FL | 01/2016 | 04/2018 |
| Queensborough National Bank | Savannah | GA | 08/2017 | 04/2018 |
| Lpl Financial Llc | Waynesboro | GA | 02/2018 | 04/2018 |
| American General Life Insurance | Brentwood | TN | 04/2018 | 04/2021 |
| Aig Capital Services, Inc. | Brentwood | TN | 04/2018 | 04/2021 |
| Principal Life Insurance Company | Savannah | GA | 04/2021 | 11/2023 |
| Principal Securities Inc | Savannah | GA | 04/2021 | Present |
| Wells Fargo Clearing Services, Llc | Charleston | SC | 11/2023 | Present |
RENTAL PROPERTY, INV RELATED, SAVANNAH, GA, 100% OWNERSHIP WITH SPOUSE, START 5/1/2018, 4 HOURS PER MONTH, 2 HOURS DURING TRADING, WORKING WITH PROPERTY MANAGEMENT COMPANY. HAYNERS CREEK, NOT INVT RELATED, SAVANNAH, GA, MUSICIAN, START DATE 12/9/2023, 12 HRS PER MONTH, 0 HRS DURING TRADING, MUSICIAN IN A BAND. ADMINISTRATOR FOR MOTHER, INVT RELATED, SAVANNAH, GA, START DATE 7/1/2021, 1 HR PER MONTH AND 0 DURING TRADING. BENEDICTINE MILITARY SCHOOL; NOT INV RELATED; SAVANNAH, GA; PART TIME TICKET TAKER; START 08/02/2024; 12 HOURS PER MONTH; 0 HOURS DURING TRADING; PART TIME TICKET TAKER. MAGNETIC MARYS; NOT INV RELATED; SAVANNAH, GA; BASS PLAYER; START 08/14/2024; 12 HOURS PER MONTH; 0 HOURS DURING TRADING; BASS PLAYER. | THE MARSH TACKIES; NOT INVESTMENT RELATED; SAVANNAH, GA; BASS PLAYER; 02/07/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; PLAYING FOR A LOCAL COVER BAND MASSACHUSETTS MUTUAL LIFE INSURANCE CO; INVESTMENT RELATED; SPRINGFIELD, MA; INSURANCE; TRAIL COMMISSIONS; START DATE 6/22/21; 3 HOURS DURING TRADING; INSURANCE BROKER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-21 |
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