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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-23 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
550 S Tryon St, Charlotte, NC 28202 • United States
Concord, NC • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Lpl Financial Corporation | Charlotte | NC | 05/2010 | 07/2021 |
| Wells Fargo Clearing Services | Charlotte | NC | 03/2023 | Present |
| Synergy Ria Compliance Solutions | Charlotte | NC | 10/2021 | 10/2022 |
| Unemployed | Concord | NC | 11/2022 | 02/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-06 |
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