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1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2025-11-20 |
| NC | RA | APPROVED | 2025-09-12 |
Branch Locations
6611 Carmel Road, Charlotte, NC 28226 • United States
200 Carolina Point Parkway 4Th Floor, Greenville, SC 29607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Charlotte | NC | 04/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 06/2021 |
| Regions Bank | Saint Petersburg | FL | 09/2022 | 09/2024 |
| Cetera Investment Services Llc | Saint Petersburg | FL | 09/2022 | 09/2024 |
| Cetera Investment Advisers Llc | Saint Petersburg | FL | 09/2022 | 09/2024 |
| The Vanguard Group, Inc. | Charlotte | NC | 03/2025 | 09/2025 |
| Wells Fargo Clearing Services, Llc | Saint Petersburg | FL | 06/2021 | 09/2022 |
| Unemployed | Saint Petersburg | FL | 09/2024 | 11/2024 |
| Unemployed | Charlotte | NC | 11/2024 | 03/2025 |
| Td Private Client Wealth Llc | Charlotte | NC | 09/2025 | Present |
| Td Bank N.A. | Charlotte | NC | 09/2025 | Present |
NAME OF BUSINESS: RENTAL PROPERTY 1 INVESTMENT-RELATED ADDRESS: SAINT PETERSBURG, FL NATURE OF BUSINESS: RENTAL PROPERTY POSITION: LANDLORD/OWNER START DATE: 06/2022 APPROXIMATE HOURS/MONTH: 10 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY NAME OF BUSINESS: RENTAL PROPERTY 2 INVESTMENT-RELATED ADDRESS: CHARLOTTE, NC NATURE OF BUSINESS: RENTAL PROPERTY POSITION: LANDLORD/OWNER START DATE: 09/2018 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY NAME OF BUSINESS: RENTAL PROPERTY 3 INVESTMENT-RELATED ADDRESS: SAINT PETERSBURG, FL NATURE OF BUSINESS: RENTAL PROPERTY POSITION: LANDLORD/OWNER START DATE: 04/2025 APPROXIMATE HOURS/MONTH: 10 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-03-12 |
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