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24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-07-10 |
Branch Locations
24 West 40Th Street 15Th Floor, New York, NY 10018 • United States
1900 S Blvd Suite 110, Charlotte, NC 28203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 05/2016 | 06/2023 |
| Ritholtz Wealth Management | New York | NY | 07/2023 | Present |
NAME OF BUSINESS: LIMITED AGENT (MOTHER IN LAW) INVESTMENT RELATED: ADDRESS (City/State): KOKOMO, IN POSITION: LIMITED AGENT START DATE (Month/Year): 5/2020 APPROXIMATE HOURS PER MONTH: 1 NUMBER OF HOURS DURING TRADING HOURS: 0
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-07-05 |
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