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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2024-08-13 |
| TX | RA | APPROVED | 2022-11-11 |
| NC | RA | APPROVED | 2022-10-04 |
Branch Locations
401 N Tryon St Ci Client Management, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 03/2021 | 07/2022 |
| Ymca | Charlotte | NC | 06/2016 | 10/2018 |
| University Of North Carolina At Charlotte | Charlotte | NC | 08/2016 | 05/2020 |
| Unemployed | Charlotte | NC | 05/2020 | 02/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 07/2022 | Present |
| Bank Of America, N.A. | Charlotte | NC | 10/2022 | Present |
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: NON-INVESTMENT/INVESTMENT RELATED: ADDRESS (City/State): NATURE OF BUSINESS: POSITION: START DATE (Month/Year): APPROXIMATE HOURS PER MONTH: NUMBER OF HOURS DURING TRADING HOURS: DUTIES:
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2021-05-07 |
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