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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2025-08-14 |
| TX | RA | APPROVED | 2025-08-14 |
| VT | RA | APPROVED | 2025-08-14 |
| NC | RA | APPROVED | 2024-04-15 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Mount Holly, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/2015 | 03/2017 |
| Alight Financial Solutions | Charlotte | NC | 03/2017 | 11/2021 |
| Alight Financial Advisors | Charlotte | NC | 10/2019 | 08/2022 |
| Fidelity Investmnts | Huntersville | NC | 08/2022 | 03/2024 |
| Fidelity Brokerage Services Llc | Huntersville | NC | 08/2022 | 03/2024 |
| Fidelity Personal And Workplace Advisors | Huntersville | NC | 10/2022 | 03/2024 |
| Tiaa | Charlotte | NC | 04/2024 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-29 |
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