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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2021-11-30 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 02/2010 | 09/2016 |
| Rda Financial Network | North Liberty | IA | 02/2010 | 09/2016 |
| Accel Wealth Management | Cedar Falls | IA | 06/2016 | 09/2016 |
| Tiaa | Cedar Falls | IA | 09/2016 | 11/2020 |
| Tiaa-Cref Individual & Institutional Services, Llc | Cedar Falls | IA | 09/2016 | 11/2020 |
| The Accel Group | Cedar Falls | IA | 02/2010 | 09/2016 |
| Ally Invest Securities Llc | Charlotte | NC | 06/2021 | Present |
| Unemployed | Sumner | IA | 11/2020 | 06/2021 |
| Ally Invest Advisors | Charlotte | NC | 11/2021 | Present |
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Sr. Analyst BL Reg Controls. Dually licensed. 11/30/2021. 0-20hrs/month. Assist with compliance oversight of some Ally Invest Advisors processes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-25 |
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