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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-06-27 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • 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 |
|---|---|---|---|---|
| Allianz Global Investors Distributors Llc | New York | NY | 08/2013 | 11/2017 |
| Allianz Global Investors U.S. Llc | New York | NY | 08/2013 | 11/2017 |
| Lpl Financial, Llc | San Diego | CA | 01/2019 | 11/2022 |
| First Citizens Investor Services | Raleigh | NC | 11/2022 | 03/2024 |
| Ally Invest Securities Llc | Charlotte | NC | 06/2024 | Present |
| Unemployed | San Diego | CA | 11/2017 | 01/2019 |
| Unemployed | Charlotte | NC | 03/2024 | 06/2024 |
| Ally Invest Advisors | Charlotte | NC | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-12-23 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-04 |
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