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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2026-08-06 |
| TX | RA | APPROVED_RES | 2026-07-31 |
| VT | RA | APPROVED | 2026-07-31 |
| NC | RA | APPROVED | 2026-07-28 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rhi General Group | San Ramon | CA | 08/2020 | 12/2020 |
| Wells Fargo Clearing Services Llc | Charlotte | NC | 08/2020 | 04/2021 |
| Jersey Mike's | Chapel Hill | NC | 09/2019 | 03/2020 |
| Blue Moon Estate Sales | Raleigh | NC | 06/2019 | 09/2019 |
| Sweeps, Llc | Raleigh | NC | 05/2018 | 08/2020 |
| Murphy Business Sales | Chapel Hill | NC | 09/2018 | 12/2018 |
| Bartaco Restaurant | Chapel Hill | NC | 06/2017 | 09/2017 |
| University Of North Carolina- Chapel Hill | Chapel Hill | NC | 08/2016 | 05/2020 |
| Principal Life Insurance Co | Charlotte | NC | 04/2021 | 07/2026 |
| Principal Securities Inc | Charlotte | NC | 04/2021 | 07/2026 |
| Principal Advised Services | Charlotte | NC | 08/2023 | 07/2026 |
| Tiaa | Charlotte | NC | 07/2026 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 07/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-30 |
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