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4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-02-04 |
Branch Locations
4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Raleigh | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 11/2016 | 01/2022 |
| Tradewinds, Llc. | Raleigh | NC | 01/2022 | Present |
1. WHITNEY HOLDING INC, INV RELATED, RALEIGH, NC, 1% OWNERSHIP, START 8/9/2011, 0 HOURS, PASSIVE OWNER PRIVATE EQUITY INVESTMENT. 2. WAKEMED FOUNDATION, INV RELATED, RALIEGH, NC, FINANCE COMMITTEE MEMBER/CHAIR, START 1/1/2013, 1 HOURS PER MONTH, ZERO DURING TRADING, OVERSIGHT OF RESERVES, BUDGETING, AND ALLOCATION OF RESOURCES. 3. RENTAL PROPERTY; INV RELATED; RALEIGH, NC; 100% OWNERSHIP, START 8/1/2011; MINIMAL TIME DEVOTED; NOT DURING TRADING HOURS. 4. AUTHOR - TO END ALL SERIES - I, LUCIFER, NOT INV RELATED, RALEIGH, NC, AUTHOR, START 1/1/2015, 20 HOURS PER MONTH/0 DURING TRADING. 5. LEVEL UP; INV RELATED; RALEIGH, NC; LECTURER; START 5/1/2017; 1.5 HR/MO; 0 DURING TRADING; DUTIES: LECTURE ON UNDERSTANDING FINANCIAL FRAUD & MANIPULATION.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-18 |
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