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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-07-01 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Odom Adjusting Company | Rock Hill | SC | 08/2008 | 07/2018 |
| Mml Investors Services, Llc | Charlotte | NC | 03/2017 | 07/2018 |
| Ally Invest Securities Llc | Charlotte | NC | 07/2018 | 03/2022 |
| Metlife Distribution Company | Charlotte | NC | 07/2016 | 09/2016 |
| Msi Financial Services, Inc. | Charlotte | NC | 09/2016 | 03/2017 |
| Ally Invest Advisors | Charlotte | NC | 06/2020 | 03/2022 |
| Ally Invest Securities Llc | Charlotte | NC | 03/2022 | Present |
| Ally Invest Advisors | Charlotte | NC | 03/2022 | Present |
the name of the other business; Ally Invest Advisors whether the business is investment-related; Yes the address of the other business; 601 S. Tryon St. Charlotte, NC 28202 the nature of the other business; Investment Advisor your position; Manager-Compliance the start date of your relationship; 4/1/2022 the approximate number of hours/month you devote to the other business; 160 the number of hours you devote to the other business during securities trading hours; 130 and briefly describe your duties relating to the other business; Perform compliance functions for Ally Invest Advisors business line.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2007-08-16 |
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