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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-10-26 |
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 |
|---|---|---|---|---|
| Ally Invest Securities Llc | Charlotte | NC | 08/2020 | 02/2022 |
| Grant Thornton | Charlotte | NC | 11/2014 | 08/2020 |
| Ally Invest Advisors | Charlotte | NC | 10/2021 | 02/2022 |
| Ally Invest Securities Llc | Charlotte | NC | 02/2022 | Present |
| Ally Invest Advisors | Charlotte | NC | 02/2022 | Present |
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Senior Director-Business Line Regulatory Controls. Dually licensed. 10/26/2021. 0-20hrs/month. Support both Ally Invest Securities (AIS) and Ally Invest Advisors (AIA) in a dually licensed capacity. Responsibilities include oversight of compliance functions for both AIS and AIA such as continuing education, registration, and licensing.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-03 |
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