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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-11-02 |
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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 08/2015 | 04/2019 |
| Wag | Hollywood | CA | 08/2018 | 12/2022 |
| Ally Invest Securities Llc | Charlotte | NC | 04/2021 | Present |
| Ernst & Young Llp | Charlotte | NC | 04/2019 | 04/2021 |
| Ally Invest Advisors | Charlotte | NC | 11/2021 | Present |
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Director - Client Services. Dually licensed. 10/21/2021. 21-40 hrs/month. As Director-Client Services, support both Ally Invest Securities and Ally Invest Advisors in a dually registered capacity. Responsibilities include overseeing customer support for clients who may hold either self directed or advisory accounts.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-10 |
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