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2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-28 |
| LA | RA | APPROVED | 2022-03-06 |
| NC | RA | APPROVED | 2021-01-05 |
Branch Locations
4235 S. Stream Blvd, Suite 100, Charlotte, NC 28217 • United States
2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 10/2003 | 09/2019 |
| Mayor | Stanley | NC | 11/2017 | 08/2024 |
| Dempsey Lord Smith, Llc | Rome | GA | 11/2019 | 12/2020 |
| Lpl Financial Llc | Davidson | NC | 12/2020 | 08/2024 |
| Merit Financial Advisors | Davidson | NC | 12/2020 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 08/2024 | Present |
| Town Of Stanley, Nc | Stanley | NC | 08/2024 | Present |
1. Merit Financial Advisors. Investment Related. At the registered location. RIA. Investment Advisor. 8/16/2024.160.160. Service clients. 2. Fixed Insurance. Investment Related. At the registered location. Insurance. Agent. Agent.8/16/2024.0.0. Provide insurance advise based on the needs of client(s) 3. Town of Stanley, NC. Not Investment Related. 416 Hwy 27 South Stanley, North Carolina 28164. 08/2024. Other. Deputy Town Manager.5.0. 4. PKS. Investment Related. At the registered location. RR of BD. Commission compensation.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-08-22 |
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