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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-10-23 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Waxhaw, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade, Inc. | The Woodlands | TX | 09/2012 | 03/2023 |
| Td Ameritrade Investment Management, Llc | The Woodlands | TX | 09/2012 | 03/2023 |
| Charles Schwab & Co., Inc. | Charlotte | NC | 03/2023 | 03/2023 |
| Td Ameritrade, Inc. | Charlotte | NC | 03/2023 | 06/2023 |
| Td Ameritrade Investment Management, Llc | Charlotte | NC | 03/2023 | 06/2023 |
| Tiaa | Charlotte | NC | 10/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 10/2023 | Present |
| Unemployed | Charlotte | NC | 07/2023 | 09/2023 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-12 |
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