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15350 Sw Sequoia Parkway Suite 250, Portland, OR 97224 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-07-26 |
Branch Locations
1515 Mockingbird Lane Suite 880, Charlotte, NC 28209 • United States
15350 Sw Sequoia Parkway Suite 250, Portland, OR 97224 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Huntersville | NC | 10/2007 | 11/2018 |
| Bank Of America, N.A. | Huntersville | NC | 12/2009 | 11/2018 |
| Tru Independence Asset Management - Yellow Wood Wealth Solutions | Charlotte | NC | 11/2018 | Present |
| Apw Capital, Inc. | Rockaway | NJ | 01/2019 | Present |
1) Tru Independence, Investment related:Yes, d/b/a: YellowWood Wealth Advisors, LLC; 1523 Elizabeth Ave, Suite 210, Charlotte, NC, 28204, RIA, Managing Director Wealth Solutions, 01/09/2019, 90 90%, Financial Advisor 2) APW Capital; Rockaway, New Jersey; Investment Related; Broker Dealer; Registered Representative; 2019; time devoted corresponds to RIA; sale of securities 3) Les Watson - Insurance, Investment related:Yes, 525 North Tryon St. Suite 1611, Charlotte, North Carolina, 28202, , Managing Director, 11/05/2018, 10%, Insurance. 4) YellowWood Financial Advisors, LLC; Charlotte, NC; Investment Related; Investment Advisory Services; Managing Partner; Time Devoted is 40 hours/week.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 2002-01-16 |
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