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6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-11-25 |
Branch Locations
6210 Ardrey Kell Road Ste 300, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ing Pilgrim Securities, Inc. | Scottsdale | AZ | 10/2001 | 12/2017 |
| Voya Investments Distributor, Llc | Wind | CT | 05/2014 | 12/2017 |
| Voya Investment Management Co., Llc | New York | NY | 05/2014 | 12/2017 |
| Voya Investment Management | Snohomish | WA | 05/2014 | 12/2017 |
| Pruco Securities Llc | Bellevue | WA | 03/2018 | 02/2019 |
| The Prudential Insurance Company Of America | Bellevue | WA | 03/2018 | 02/2019 |
| Russell Investments | Seattle | WA | 02/2019 | 09/2020 |
| Quasar Distributors, Llc | Snohomish | WA | 09/2020 | Present |
| Horizon Investments Llc | Snohomish | WA | 09/2020 | Present |
1.) Horizon Investments; Charlotte, NC; Investment related; Started 09/14/2020; Sales; Regional Director; Service existing clients; prospect for new clients; raise assets within horizon models/funds; 200 hours per month with 0 hours during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-25 |
| S65 | Uniform Investment Adviser Law Examination | 2001-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-14 |
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