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Current Employers
Ally Invest Advisors

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2021-11-30
  • IA RA
    APPROVED
    Since 2021-11-30

Branch Locations

Sumner, IA • United States

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 02/2010 → 09/2016
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 02/2010 → 09/2016
    North Liberty, IA
  • 06/2016 → 09/2016
    Accel Wealth Management
    Cedar Falls, IA
  • 09/2016 → 11/2020
    Tiaa
    Cedar Falls, IA
  • 09/2016 → 11/2020
    Cedar Falls, IA
  • 02/2010 → 09/2016
    The Accel Group
    Cedar Falls, IA
  • 06/2021 → Present
    Ally Invest Securities Llc
    Charlotte, NC
  • 11/2020 → 06/2021
    Unemployed
    Sumner, IA
  • 11/2021 → Present
    Charlotte, NC
Previous Registrations
  • 2016-10-18 → 2020-11-13
    Cedar Falls, IA
    Glendale, CO
    Sumner, IA
  • 2010-02-16 → 2016-09-30
    Cedar Falls, IA
  • 2016-06-30 → 2016-09-26
    Accel Wealth Management
    Cedar Falls, IA
  • 2009-06-09 → 2012-03-29
    Waterloo, IA
  • 2009-06-02 → 2010-03-03
    Advantage Investment Management, Llc
    Waterloo, IA
  • 2009-05-07 → 2010-02-12
    National Planning Corporation
    Waterloo, IA
  • 2006-12-05 → 2008-10-20
    Cuna Brokerage Services, Inc.
    Waverly, IA
    Cedar Falls, IA
    Waverly, IA
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-04
S63 Uniform Securities Agent State Law Examination 2003-06-25
  • S66 Uniform Combined State Law Examination
    2006-12-04
  • S63 Uniform Securities Agent State Law Examination
    2003-06-25
Other Names
  • Janet Ann Northrop
  • Janet Ann Rochford

View on SEC IAPD

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