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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-09-21 |
| NC | RA | APPROVED | 2020-09-01 |
Branch Locations
620 S Tryon St, Charlotte, NC 28255 • United States
1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc | Centennial | CO | 06/2006 | 05/2019 |
| Invesco Distributors, Inc. | Houston | TX | 05/2019 | 01/2020 |
| Merrill Lynch, Pierce, Fenner, & Smith Incorporated | Charlotte | NC | 01/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-28 |
| S66 | Uniform Combined State Law Examination | 2005-11-16 |
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