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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-08-17 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Yes I Can Basketball | Charlotte | NC | 10/2005 | Present |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 04/2015 | 08/2017 |
| Pnc | Charlotte | NC | 01/2018 | 01/2018 |
| Tiaa | Charlotte | NC | 02/2018 | 04/2021 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 02/2018 | 04/2021 |
| Ally Invest Advisors | Charlotte | NC | 06/2021 | Present |
| Ally Invest Securities Llc | Charlotte | NC | 01/2023 | Present |
Ally Invest Securities LLC Start Date: 1/6/2023; Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed or advisory accounts. 0-20 hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-07 |
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