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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-23 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Charlotte | NC | 01/2016 | 08/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 08/2020 | 10/2023 |
| Bank Of America, N.A. | Charlotte | NC | 09/2020 | 10/2023 |
| Empower Financial Services, Inc. | Greenwood Village | CO | 10/2023 | 01/2024 |
| Empower Advisory Group, Llc | Greenwood Village | CO | 10/2023 | 01/2024 |
| Mml Investors Services, Llc | Charlotte | NC | 01/2024 | Present |
| Massmutual Life Insurance Co | Charlotte | NC | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-05 |
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