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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-09-08 |
Branch Locations
16810 Kenton Drive Suite 220, Huntersville, NC 28078 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Mooresville | NC | 06/2002 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Mooresville | NC | 10/2000 | 09/2021 |
| Raymond James Financial Services, Inc. | Huntersville | NC | 09/2021 | Present |
| Raymond James Financial Services Advisors, Inc. | Huntersville | NC | 09/2021 | Present |
| Pinnacle Asset Management | Huntersville | NC | 08/2021 | Present |
| Pinnacle Financial Partners | Huntersville | NC | 08/2021 | Present |
(1) Name of Business: Pinnacle Asset Management Address: 16810 Kenton Drive Suite 220, Huntersville, NC, 28078-4845, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/30/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: I refer clients to members of Pinnacle Asset Management and work directly with Partners from this group.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-05 |
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