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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-03-30 |
Branch Locations
13830 Ballantyne Corporate Pl Ste 200, Charlotte, NC 28277 • United States
Waxhaw, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Charlotte | NC | 01/2014 | 10/2017 |
| Kestra Financial, Inc. | Charlotte | NC | 10/2017 | 03/2022 |
| Ameriprise Financial Services, Llc | Charlotte | NC | 03/2022 | Present |
Outside Employment; Central Piedmont Community College; Instructor - Teaching; ; 2800 Campus Ridge Rd, , Mathews, NC, 28105; Investment-Related; 04/01/2016; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-18 |
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