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631 Augusta St, Greenville, SC 29605 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2023-05-23 |
| TX | RA | APPROVED_RES | 2021-11-01 |
| SC | RA | APPROVED | 2020-06-16 |
| NC | RA | APPROVED | 2020-03-19 |
Branch Locations
631 Augusta St, Greenville, SC 29605 • United States
1745 S. Naperville Road Suite 200, Wheaton, IL 60189 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-02-17 |
Branch Locations
631 Augusta St., Greenville, SC 29601 • United States
1745 S. Naperville Road Suite 200, Wheaton, IL 60189 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-05-13 |
Branch Locations
13925 Ballantyne Corporate Place Suite 190, Charlotte, NC 28277 • United States
4050 E. Cotton Center Blvd. Suite 40, Phoenix, AZ 85040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Retirement Wealth Advisors | Gastonia | NC | 11/2015 | 06/2020 |
| Veritas Retirement Solutions | Gastonia | NC | 01/2011 | 11/2016 |
| Veritas Wealth Solutions Inc | Charlotte | NC | 01/2016 | 11/2016 |
| Alloy Wealth Management, Inc. | Charlotte | NC | 11/2016 | Present |
| Formulafolio Investments, Llc | Charlotte | NC | 11/2016 | 12/2021 |
| South Piedmont Community College | Monroe | NC | 05/2019 | Present |
| Alloy Wealth Holdings Llc Dba Alloy Investment Management | Charlotte | NC | 10/2019 | Present |
| Living Large Productions Llc | Charlotte | NC | 10/2019 | Present |
| Foundations Investment Advisors Llc | Scottsdale | AZ | 05/2020 | Present |
| Brookstone Capital Management | Wheaton | IL | 01/2022 | Present |
(1) Alloy Wealth Management, Inc. Investment-Related, 13850 Ballantyne Corporate Pla, Sutie 500, Charlotte, NC 28277, Owner, 01/2011 - PRESENT, Insurance , Start Date: 11/2016, Hours Dedicated: 80 hours per month (75 hours per month during trading hours) Duties: Insurance - selling annuities and life insurance products (2)SOUTH PIEDMONT COMMUNITY COLLEGE; NON INVESTMENT RELATED; 4209 OLD CHARLOTTE HWY, MONROE, NC 28110; TEACHING; ADJUNCT PROFESSOR; STARTED 05/2019; 4 HOURS/MONTH DEVOTED; 0 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; CLASS INSTRUCTOR. (3) LIVING LARGE PRODUCTIONS LLC; NON-INVESTMENT RELATED; CHARLOTTE, NC; TELEVISION/RADIO PRODUCTION COMPANY; CEO, SINCE 10/2019; APPROXIMATELY 8 HOURS PER MONTH (ALL DURING TRADING HOURS); PRODUCING RADIO/TV FINANCIAL SHOWS. (5) FOUNDATIONS INVESTMENT ADVISORS LLC, INVESTMENT RELATED; CHARLOTTE, NC; SOLICITOR/INVESTMENT ADVISER REPRESENTATIVE SINCE 05/2020; APPROXIMATELY 10 HOURS PER MONTH (ALL DURING TRADING HOURS); PROVIDING ADVISORY SERVICES. (6) ALLIED WEALTH HOLDINGS, LLC DBA ALLOY INVESTMENT MANAGEMENT, INVESTMENT RELATED; CHARLOTTE, NC; INVESTMENT ADVISER REPRESENTATIVE SINCE 12/2019; APPROXIMATELY 80 HOURS PER MONTH (75 DURING TRADING HOURS); PROVIDING ADVISORY SERVICES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-06 |
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