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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-11-21 |
Branch Locations
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
550 S Tryon St, Charlotte, NC 28202 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | Charlotte | NC | 03/2013 | 03/2017 |
| Kelly Services | Charlotte | NC | 04/2017 | 05/2018 |
| Axa | Charlotte | NC | 05/2018 | 12/2018 |
| Axa Advisors Llc | New York | NY | 05/2018 | 12/2018 |
| Wells Fargo Bank, Na | Charlotte | NC | 12/2018 | 10/2020 |
| Wells Fargo Advisors, Llc | Charlotte | NC | 01/2019 | 10/2020 |
| The Vanguard Group, Inc. | Charlotte | NC | 10/2020 | 02/2021 |
| Wells Fargo Clearing Services | Charlotte | NC | 08/2022 | Present |
| Charlotte Mecklenburg Schools | Charlotte | NC | 03/2021 | 08/2022 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-22 |
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