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210 N Church St Suite 1905, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-01-05 |
Branch Locations
210 N Church St Suite 1905, Charlotte, NC 28202 • United States
90 Aviemore Drive, Pinehurst, NC 28374 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stockham Financial Services | Pinehurst | NC | 03/2011 | 07/2022 |
| First Allied Securities, Inc | San Diego | CA | 04/2011 | 07/2022 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 07/2022 | Present |
| Ia Network Llc D/B/A Stockham Financial | Pinehurst | NC | 07/2022 | Present |
1. IA Network, LLC d/b/a Stockham Financial. Investment Related. At Registered Location. RIA. Director of Operations. 07/2022. 160 Hrs/Mo; All During Trading Hours. Operations Duties. 2. Notary Public - Moore County. Not Investment Related. At Registered Location. Notary. Notary Public. 08/2005. 4 Hrs/Mo; All During Trading Hours. Notary for Stockham Financial Clients. 3. Board Member - Pinecrest PTSA. Not Investment Related. Not At Registered Location. PTA. Board Member. 07/2005. 1 Hrs/Mo; All After Trading Hours. 3. Stockham Financial Services. Not investment related. At registered location. S Corp for tax purposes. CFO/CCO 50% Owner. 5 hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-05 |
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