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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-04-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 04/2022 | 08/2022 |
| Dick Broadcasting Company | Greensboro | NC | 02/2020 | Present |
| Townsquare Interactive | Charlotte | NC | 09/2021 | 12/2021 |
| Thrivent Financial | Greensboro | NC | 06/2021 | 09/2021 |
| Truist Financial | Greensboro | NC | 11/2020 | 05/2021 |
| Advantage Solutions | Greensboro | NC | 10/2020 | 11/2020 |
| Acosta Sales & Marketing | Thomasville | NC | 02/2018 | 09/2020 |
| Vitacost | Lexington | NC | 07/2017 | 02/2018 |
| Radioshack | Greensboro | NC | 05/2013 | 05/2017 |
| Wells Fargo Advisors | Charlotte | NC | 08/2022 | 03/2023 |
| Equitable Advisors | Charlotte | NC | 03/2023 | 04/2023 |
| Dxc Technology | Charlotte | NC | 05/2023 | 07/2023 |
| Radio One | Charlotte | NC | 10/2023 | Present |
| Ubs Financial Services, Inc | Charlotte | NC | 01/2024 | 04/2024 |
| The Vanguard Group, Inc. | Charlotte | NC | 10/2023 | 12/2023 |
| First Citizens Investor Services | Raleigh | NC | 04/2024 | Present |
NAME OF BUSINESS: DICK BROADCASTING COMPANY NON-INVESTMENT ADDRESS (City/State): GREENSBORO, NC NATURE OF BUSINESS: RADIO BROADCASTING POSITION: PROMOTIONS ASSISTANT START DATE : 02/2020 APPROXIMATE HOURS PER MONTH: 5 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: PROMOTIONS AND TECHNICAL OPERATIONS NAME OF BUSINESS: RADIO-ONE NON-INVESTMENT ADDRESS (City/State): CHARLOTTE, NC NATURE OF BUSINESS: RADIO BROADCASTING POSITION: PROMOTIONS ASSISTANT START DATE : 10/2023 APPROXIMATE HOURS PER MONTH: 20 NUMBER OF HOURS DURING TRADING HOURS: 0 DUTIES: PROMOTIONS AND TECHNICAL OPERATIONS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 2022-05-16 |
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