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6340 Quadrangle Drive Suite 100, Chapel Hill, NC 27517 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-06-08 |
Branch Locations
6340 Quadrangle Drive Suite 100, Chapel Hill, NC 27517 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mst Financial | Irvine | CA | 11/2019 | 10/2024 |
| Luca Partners | Durham | NC | 10/2024 | 04/2026 |
| Hilltop Wealth Advisors, Llc | Chapel Hill | NC | 04/2026 | Present |
| Better Buzz Coffee Roasters | Encinitas | CA | 12/2016 | 03/2018 |
| Ohana Cupcakes | Oceanside | CA | 03/2016 | 12/2016 |
| California State University | Fullerton | CA | 08/2016 | 05/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2018 | 01/2020 |
| Northwestern Mutual Investment Services Llc | Newport Beach | CA | 06/2019 | 11/2019 |
| Chad Shaw | Newport Beach | CA | 01/2020 | 10/2024 |
| Thomas Miller | Newport Beach | CA | 08/2020 | 10/2024 |
| Henry Sladek | Newport Beach | CA | 08/2020 | 10/2024 |
| Charles Irvin | Durham | NC | 10/2024 | 04/2026 |
| Northwestern Mutual Investment Services, Llc | Durham | NC | 10/2024 | 04/2026 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 12/2021 | 04/2026 |
| William Newton | Durham | NC | 10/2024 | 04/2026 |
| James Huckabee | Durham | NC | 10/2024 | 04/2026 |
| Andrew Bernstein | Durham | NC | 01/2025 | 04/2026 |
1. 100% OWNER, SELL HANDMADE ITEMS, 1225 ORCHARD ORIOLE LN. DURHAM, NC 27713, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 03/07/2024, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, SELLING HANDMADE ITEMS (CROCHET HANDBAGS, HATS, CLOTHES, ETC.) non-investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-10-22 |
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