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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-01-16 |
| TX | RA | APPROVED | 2026-01-16 |
Branch Locations
2000 W Main St, Durham, NC 27705 • United States
3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Carolina Athletic Hospitality | Chapel Hill | NC | 10/2017 | 06/2019 |
| City Of Kinston Parks And Recreation | Kinston | NC | 05/2013 | 08/2018 |
| Student | La Grange | NC | 08/2003 | 05/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2020 | 11/2021 |
| Northwestern Mutual Investment Services Llc | Durham | NC | 05/2020 | 11/2021 |
| Enterprise Rent A Car | Morrisville | NC | 06/2019 | 03/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 10/2020 | 11/2021 |
| Merrill Lynch, Pierce, Fenner & Smithincorporated | Charlotte | NC | 11/2021 | 01/2026 |
| Ponysaurus Brewing Company | Durham | NC | 11/2021 | 12/2021 |
| Bank Of America, N.A. | Charlotte | NC | 03/2022 | 01/2026 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 01/2026 | Present |
I*: 2228264 Entity Type: Charitable Name of OBA: Eno River Unitarian Universalist Fellowship Address: Durham, NC 27707 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 04/01/2025 Number of Hours: 4 hrs annually Number of Hours during trading: 0 Duties: I would be working with the Investment Committee that would serve as a liaison between the church's Foundation and the professional that manages the endowment fund.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-10 |
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