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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-03-24 |
| NC | RA | APPROVED | 2022-03-23 |
| TX | RA | APPROVED | 2022-03-23 |
Branch Locations
4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Charlotte | NC | 03/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 06/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/2018 | 04/2019 |
| Unemployed | Charlotte | NC | 04/2019 | 07/2019 |
| Robert W. Baird & Co. Incorporated | Charlotte | NC | 07/2019 | 03/2022 |
| Janney Montgomery Scott Llc | Charlotte | NC | 03/2022 | Present |
Self, Charlotte, NC; Not Investment Related; Nature: Rental Properties; Title/Position: Owner; Duties: Maintain two properties. Duties are limited, as we use a property manager. Compensated through rental income.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-12-17 |
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