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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2018-08-21 |
Branch Locations
380 Knollwood St, Winston Salem, NC 27103 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Winston-Salem | NC | 06/2002 | 07/2018 |
| Wells Fargo Advisors Llc | Winston Salem | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Winston Salem | NC | 11/2016 | 07/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winston-Salem | NC | 07/2018 | Present |
| Bank Of America, N.A. | Winston-Salem | NC | 07/2018 | Present |
I*410008For profit or not for profit: Entity CharitableName of outside business organization: Senior Services of Forsyth CountyInvestment related: NoAddress of business: Winston-Salem, North Carolina, 27105Nature of business: Civic League or Social Welfare OrganizationPosition, title, association: Board Member Start date of relationship: 7/1/2023Number of hours devoted: 1 hour WeeklyNumber of hours devoted during trading hours: 1Duties: I serve on the Board of Trustees. I am currently currently board chair. My role will be to lead the board meetings. It is a two year commitment. I do not sit on audit or investment and I have no check writing privileges SPRING STREET PROPERTIES LLC, INV RELATED, WINSTON SALEM, NC, START: 9/1/2005, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: MANAGING MEMBER. SENIOR SERVICES, NOT INV RELATED, WINSTON SALEM, NC, START: 1/25/2018, 5 HOURS PER MONTH/2 DURING TRADING, DUTIES: STANDARD NO PROFIT BOARD GOVERNANCE. I*120638For profit or not for profit: Non-Profit OrganizationName of outside business organization: Salem Cemetery CompanyInvestment related: NoAddress of business: Winston-Salem, North Carolina 27101Position, title, association: Trustee,Start date of relationship: 5/1/2019Number of hours devoted: 2 hour QuarterlyNumber of hours devoted during trading hours: 2 hrsDuties: Fiduciary responsibilities associated with cemetery services including managing budgets to support costs associated with grave openings, burials, cemetery maintenance and perpetual care services I*116378For profit or not for profit: Non-Profit OrganizationName of outside business organization: The Summit SchoolInvestment related: NoAddress of business: Winston-Salem, North Carolina 27106Position, title, association: Board memberStart date of relationship: 7/31/2011Number of hours devoted: 6 hours MonthlyNumber of hours devoted during trading hours: 2 hrsDuties: I serve on the Board of Trustees for Summit School. I chair the Facilities Committee and serve on the Advancement committee. I have also been asked to serve as incoming Board Chair. it is a two year term. I*: 1482293Entity Type: Entity CharitableName of OBA: University of North Carolina School of the Arts FoundationAddress: Winston-Salem, NCInvestment Related: NoPosition, Title, Association: Board MemberEmployee Start Date: 09/20/2024Number of Hours: 24 hrs annuallyNumber of Hours during trading: 1 hr annuallyDuties: The UNCSA Foundation is a sole-support entity dedicated to the advancement and achievement of the students, faculty and staff of University of North Carolina School of the Arts. The UNCSA Foundation generally oversees the management of funds belonging to the Foundation and has no active management responsibility and prudently applies amounts derived from such funds to support of the School. The Foundation advocates for UNCSA and encourages financial support of the school. The Foundation provides clear and accurate financial information, while operating openly and collaboratively. I*2485269, Entity Type: Entity Charitable, Name of OBA: Reynolda House Museum of American Art, Address: Winston-Salem, North Carolina, 27106, Investment Related: N, Position, Title, Association: Board Member, Officer, Employee Start Date: 07/01/2026, No Hours: 2 Monthly, No Hours during Trading: 1 Monthly, Duties: I have been asked to serve as Board Chair starting July 1, 2026 for a two year term. Reynola House is a museum of American Art. The grounds also include historic Reynolda Garden and Grounds. I*3272291, Entity Type: Entity Charitable, Name of OBA: Winston Salem Community Foundation, Address: Winston-Salem, North Carolina, 27101, Investment Related: Y, Position, Title, Association: Board Member, Employee Start Date: 01/01/2026, No Hours: 40 Yearly, No Hours during Trading: 30 Yearly, Duties: I will serve on the Audit and Finance/Investment Committees. The Winston Salem Foundation is a non profit community foundation focused on improving the quality of life in Winst
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-15 |
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