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120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-08-08 |
Branch Locations
1901 Roxborough Road Suite 315, Charlotte, NC 28211 • United States
120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mercer Investments, Llc | Charlotte | NC | 03/2016 | 08/2024 |
| Mgi Funds Distributors, Llc | Charlotte | NC | 01/2020 | 08/2024 |
| Nfp Retirement, Inc. | Aliso Viejo | CA | 08/2024 | 10/2025 |
| Wealthspire Retirement Advisory | Aliso Viejo | CA | 10/2025 | Present |
1) CleanerWays, LLC; Not Investment Related; Charlotte, NC; Product Development & ECommerce; Owner; 11/2020 start date; 1 hour per month; 0 per trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2004-06-17 |
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