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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-02-21 |
Branch Locations
539 North Main St., Hendersonville, NC 28792 • United States
2106 Hendersonville Rd, Arden, NC 28704 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Brevard | NC | 06/2013 | 02/2020 |
| Wells Fargo Advisors, Llc | Brevard | NC | 08/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Brevard | NC | 11/2016 | 02/2020 |
| First Citizen Bank | Hendersonville | NC | 02/2020 | Present |
| First Citizens Investor Services | Raleigh | NC | 02/2020 | Present |
1.) Blue Ridge Humane Society. Hendersonville NC, 28792. Not investment related. 5 hours per month, 0 trading hours per month. Oversee operations and approve business decisions. Starts 01/2022 2) ROTARY INTERNATIONAL ASHEVILLE BILTMORE ROTARY CLUB; ADDRESS: Mills River NC 28759, United States; POSITION: Treasurer. NATURE: The organization is a 501c4 nonprofit organization. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 12/18/2023.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 2015-10-20 |
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