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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2023-10-03 |
| NC | RA | APPROVED | 2023-05-09 |
Branch Locations
8901 Six Forks Road, Raleigh, NC 27615 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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 |
|---|---|---|---|---|
| Financial Advisory Associates | Southfield | MI | 10/2013 | 04/2020 |
| The Leaders Group, Inc. | Littleton | CO | 01/2014 | 08/2021 |
| The Smith Company | Boston | MA | 04/2020 | 08/2021 |
| John Hancock Distributors Llc | Boston | MA | 08/2021 | 08/2022 |
| John Hancock | Boston | MA | 08/2021 | 08/2022 |
| Wells Fargo Clearing Services | Mclean | VA | 08/2022 | Present |
| Wells Fargo Bank | Mclean | VA | 08/2022 | Present |
LEGAL/ATTORNEY/PARALEGAL; NOT INV RELATED;RALEIGH,NC; LICENSURE AND SUPERVISION ; START DATE: 03/22/2003; 1 HRS PER MONTH; 0 HRS DURING TRADING; CERTIFIED PUBLIC ACCOUNTANT; NOT INV RELATED;GLEN ALLEN,VA; LICENSURE AND SUPERVISION OF VIRGINIA CPAS; START DATE: 09/18/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-06-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-22 |
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