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6135 Park South Drive Suite 510, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-02-06 |
| NC | RA | APPROVED | 2019-01-25 |
| MD | RA | APPROVED | 2012-11-28 |
Branch Locations
6135 Park South Drive Suite 510, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Grove Point Investments, Llc | Rockville | MD | 11/2011 | 01/2025 |
| Wms Advisors, Llc | Charlotte | NC | 12/2010 | 01/2017 |
| Tgm Capital, Llc | Charlotte | NC | 01/2022 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2025 | Present |
| Wms Advisors, Llc | Charlotte | NC | 01/2017 | Present |
1. WMS Advisors, LLC. Investment Related. At Registered Location. RIA. IAR. Partner and Chief Compliance Officer. 12/2010.160. 30, Management and Financial Advising. 2. Fixed Insurance. Investment Related. At Registered Location. Insurance. Agent. 04/2024. 6. 6. Insurance sales. 3. TGM Capital, LLC. Investment Related. At Registered Location; Holding Company; Owner; 01/2022; 8; 4; Holding and operating company for interest in WMS Advisors, LLC. 4. PKSF. Not Investment Related. At the registered location. Fixed/Traditional Insurance; Agent; 11/2024; 1; 1; Sales of fixed/traditional insurance products. 5. Charlotte Bilingual Preschool; Not Investment Related. 6300 Highland Avenue Charlotte, NC 28215; Non-profit; Board and Finance Committee Member; 01/2021; 5; 8; consulting and advising the CEO, Treasurer, and other non-profit leaders.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-09-05 |
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