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6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-07-28 |
Branch Locations
6101 Carnegie Blvd Suite 310, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 07/2014 | 12/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Huntersville | NC | 12/2017 | 05/2022 |
| Bank Of America, N.A. | Huntersville | NC | 07/2018 | 05/2022 |
| Mai Capital Management Llc | Charlotte | NC | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-16 |
| S65 | Uniform Investment Adviser Law Examination | 2013-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 2008-03-26 |
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