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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-07 |
Branch Locations
8500 Andrew Carnegie Blvd Charlotte Trac, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | Charlotte | NC | 06/2016 | 01/2018 |
| Nylife Securities Llc | Charlotte | NC | 06/2016 | 01/2018 |
| Guardian Life Insurance Co Of America | Charlotte | NC | 01/2018 | 08/2018 |
| Park Avenue Securities | Charlotte | NC | 01/2018 | 08/2018 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 09/2018 | Present |
| Tiaa | Charlotte | NC | 09/2018 | Present |
(1) Name: Climate Care of the Carolinas Position: Part Owner, have no immediate roll. Wanted my name to be on company so we can qualify for different grants/loans because of my minority status. Also, if my husband ever passed I would not have as many issues. Nature: The company will assist customers with home repairs, maintenance, and warranty work on their HVAC Units. Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 04/09/2018 Address: Home Address, Monroe NC 28112, United States Description: I am co-owner of this company with my husband. We have not went live yet, and do not have an exact date as to when he will start accepting customers. (2) FIELDS OF BLOSSOMS POSITION: I would be the owner and sole worker of the farm NATURE: I would utilize FB Marketplace to advertise for bouquets and partner with local stores and florists to sale my flowers. Potentially going to local farmers markets to also sale seasonal bouquets. I would use the evenings and weekends to run my flower business. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2023 ADDRESS: Home Address, Monroe NC 28112, United States DESCRIPTION: I plan to start a Flower Farm, growing native Flowers to NC along with Herbs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-26 |
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