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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-11-21 |
| TX | RA | APPROVED | 2022-11-21 |
Branch Locations
1000 Social St Suite 1250, Raleigh, NC 27609 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 08/2015 | 10/2016 |
| Adp | Norfolk | VA | 10/2016 | 04/2017 |
| Ameriprise Financial Services, Inc. | Statesville | NC | 04/2017 | 06/2017 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 07/2017 | 08/2020 |
| Deutsche Bank Securities Inc. | Jacksonville | FL | 08/2020 | 02/2022 |
| Wells Fargo Clearing Services | Charlotte | NC | 03/2022 | 09/2022 |
| Morgan Stanley Smith Barney Llc | Raleigh | NC | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-10 |
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