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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-10-07 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Charlotte | NC | 07/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 04/2021 |
| Ally Invest Securities Llc | Charlotte | NC | 04/2021 | Present |
| Ally Invest Advisors | Charlotte | NC | 10/2021 | Present |
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Manager - Client Services. Dually licensed. 10/07/2022. 40+ hrs/month. Assist with compliance oversight of some Ally Invest Advisors processes. Manages licensed representatives servicing both self-directed and advisory accounts
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-03 |
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