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1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-04-03 |
Branch Locations
8501 Ibm Drive Suite 150, Charlotte, NC 28269 • United States
Huntersville, NC • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charlotte | NC | 05/2015 | 12/2017 |
| Tiaa | Charlotte | NC | 01/2018 | 03/2019 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 01/2018 | 03/2019 |
| Axa Equitable | Charlotte | NC | 03/2019 | 06/2020 |
| Axa Advisors, Llc | New York | NY | 03/2019 | 06/2020 |
| Equitable Advisors, Llc | New York | NY | 03/2019 | Present |
| Equitable Advisors, Llc | New York | NY | 03/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-04-09 |
| S65 | Uniform Investment Adviser Law Examination | 2006-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-14 |
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