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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-04-15 |
| NC | RA | APPROVED | 2018-10-08 |
Branch Locations
6000 Fairview Road Suite 500, Charlotte, NC 28210-3254 • United States
Clover, SC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 07/2016 | 01/2018 |
| American United Life | Charlotte | NC | 01/2018 | 10/2018 |
| Oneamerica Securities | Charlotte | NC | 04/2018 | 10/2018 |
| Rbc Capital Markets, Llc. | Charlotte | NC | 10/2018 | Present |
| City National Bank | Charlotte | NC | 07/2019 | Present |
Non-variable insurance sales (fixed life, fixed annuities) (2) NAME OF ENTITY: Rental Property ADDRESS: 14 Beaufort Street, Unit D Ocean Isle Beach, NC 28469 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Short-term rental property in Ocean Isle CAPACITY: Committee/Council Member (not associated with the Board of Directors) START DATE: 05/15/20 DUTIES: Passive ownership. All rental business will be conducted through property management company. HOURS DEVOTED PER MONTH: 0-1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2016-09-06 |
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