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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-05-18 |
Branch Locations
11325 North Community House Road Suite 600, Charlotte, NC 28277 • United States
1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Charlotte | NC | 01/2007 | 11/2020 |
| Tiaa-Individual & Institutional Services, Llc | Charlotte | NC | 01/2007 | 11/2020 |
| Unemployed | Belmont | NC | 12/2020 | 05/2021 |
| Dempsey Lord Smith, Llc | Rome | GA | 06/2021 | 12/2021 |
| Wells Fargo Clearing Services | Charlotte | NC | 04/2022 | 01/2026 |
| Unemployed | Belmont | NC | 01/2022 | 04/2022 |
| Ubs Financial Services Inc. | Charlotte | NC | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-16 |
| S65 | Uniform Investment Adviser Law Examination | 2004-11-20 |
| S63 | Uniform Securities Agent State Law Examination | 2004-04-19 |
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