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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-05 |
| SC | RA | APPROVED | 2024-11-05 |
Branch Locations
300 S Tyron St, Charlotte, NC 28202 • United States
901 3Rd Ave S, Minneapolis, MN 55402 • United States
Fort Mill, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Teachers Personal Investors Services, Inc. | Charlotte | NC | 10/2011 | 12/2016 |
| Tiaa | Charlotte | NC | 01/2007 | 12/2016 |
| Nuveen Securities, Llc | Chicago | IL | 01/2017 | 05/2023 |
| Nuveen Asset Management, Llc | Chicago | IL | 11/2022 | 05/2023 |
| American Enterprise Investment Services Inc. | Golden Valley | MN | 10/2024 | Present |
| Ameriprise Financial Services, Llc | Golden Valley | MN | 10/2024 | Present |
| Unemployed | Charlotte | NC | 06/2023 | 09/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-03 |
| S66 | Uniform Combined State Law Examination | 2005-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-28 |
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