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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-03-09 |
| NC | RA | APPROVED | 2000-12-31 |
Branch Locations
19900 West Catawba Avenue Suite 207, Cornelius, NC 28031 • 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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 01/1997 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 01/1997 | Present |
INSURANCE BROKERAGE BUSINESS; WOODY FAMILY LIMITED PARTNERSHIP (FAMILY MEMBER); SUNDANCE GROUP LLC (OWNER/PARTNER); MAYBERRY LODGE, LLC (RENTAL PROPERTY, OWNER); High Point University Alumni Association Board of Directors (Board Member); DBA: Oak Capital Management, LLC, Silver King HOA, 1485 Empire Ave. Park City, UT 84060, Board Member, Working with the Condo association, 11/18/2024, 4HRS/MO. Not investment related; Lambda Chi Alpha, Iota Phi High Point University, Board Member, High Theta, Help with chapter community service, 08/08/2025, 3HRS/Mo Not Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-24 |
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