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Current Employers
Uwharrie Investment Advisors, Inc.

132 North First Street, Albemarle, NC 28001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2004-01-05
  • NC RA
    APPROVED
    Since 2004-01-05

Branch Locations

132 North First Street, Albemarle, NC 28001 • United States

416 West Main Street, Locust, NC 28097 • 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
Bank Of Stanly Albemarle NC 10/2001 Present
Strategic Investment Advisors Albemarle NC 01/2004 Present
Private Client Services Llc Louisville KY 11/2011 Present
  • 10/2001 → Present
    Bank Of Stanly
    Albemarle, NC
  • 01/2004 → Present
    Strategic Investment Advisors
    Albemarle, NC
  • 11/2011 → Present
    Private Client Services Llc
    Louisville, KY
Other Businesses

1) STANLY COUNTY AIRPORT AUTHORITY, 43222 LOWDER AVIATION PARKWAY, NEW LONDON, NC 28127 BOARD OF DIRECTORS SINCE 2003. NOT INVESTMENT RELATED. ATTEND BOARD MEETINGS. 5 HOURS PER MONTH, NONE DURING MARKET HOURS. 2) CHS Stanly Advisory Council, 301 Yadkin St, Albemarle, PA 28001. Vice-chairman of volunteer hospital advisory council. 2 hrs/month during trading time. Non-investment related. 3) UWHARRIE INVESTMENT ADVISORS, SECURITIES RELATED, PO Box 715, 416 West Main Street, Locust, NC 28097. MANAGE INVESTMENT ACCOUNTS, RELATIONSHIP MGR. START DATE 1/1/2004, 30 HOURS PER MONTH ALL OF WHICH DURING MARKET HOURS. 4) Uwharrie Bank, 416 West Main Street, Locust, NC 28097. SVP of commercial and consumer bank. 130 hrs/month during trading hours. 4) LICENSED WITH VARIOUS INSURANCE CARRIERS FOR THE SALE OF NON SECURITIES INSURANCE PRODUCTS 5) Charlotte Hornets, official scorer, Time Warner Arena, non-investment related. Hours per month vary. 6) For Stanly, Inc. PO Box 715 Locust, NC 28097 Chairman of non-profit economic development organization. 1 hr/month during trading hrs. Non-investment related. 7) The Cason Group. Charlotte, North Carolina. Financial Services division for life insurance, health and long-term care insurance. Will be doing some insurance business through The Cason Group on life, long-term care and possibly health for small business. 1 hour/mo; 1 during trading hours. 8) Aircraft Ownership. 25% owner. N797T Aviation LLC. 108 Water Oak Lane, Stanfield, NC 28163.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-16
  • S66 Uniform Combined State Law Examination
    2003-12-16
Other Names
  • Mike Harwood

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