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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-11-09 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States
Charlotte, NC • 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 |
|---|---|---|---|---|
| Vanguard Marketing Corporation | Charlotte | NC | 08/2014 | 11/2019 |
| Td Ameritrade, Inc. | Charlotte | NC | 01/2020 | 01/2021 |
| Personal Capital Advisors Corporation | Huntersville | NC | 02/2021 | 10/2022 |
| Vanguard Advisers, Inc. | Charlotte | NC | 08/2014 | 11/2019 |
| Td Ameritrade Investment Management, Llc | Charlotte | NC | 01/2020 | 12/2020 |
| Tiaa | Charlotte | NC | 10/2022 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 10/2022 | Present |
(1) ROWAN CABARRUS COMMUNITY COLLEGE POSITION: adjunct instructor NATURE: This is a community college. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/09/2024 ADDRESS: 1531 Trinity Church Road, Concord NC 28027, United States DESCRIPTION: teaching accounting courses (2) CENTRAL PIEDMONT COMMUNITY COLLEGE POSITION: Adjunct Instructor NATURE: The college has initiated a certified financial planner program to satisfy the course requirement in preparation for the exam. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 06/12/2025 ADDRESS: 1201 Elizabeth Ave, Charlotte NC 28204, United States DESCRIPTION: Teach courses within the CFP program.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-31 |
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