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19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2025-10-17 |
Branch Locations
19520 West Catawba Avenue Suite 112, Cornelius, NC 28031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Modern Woodmen Of America | Davenport | IA | 08/2019 | 06/2023 |
| Eric Johannes, Charles Schwab | Davenport | IA | 07/2018 | 02/2019 |
| Davenport Country Club | Pleasant Valley | IA | 03/2015 | 01/2019 |
| Mwa Financial Services Inc | Rock Island | IL | 01/2021 | 06/2023 |
| Scott Community College | Davenport | IA | 03/2018 | 03/2020 |
| Planmember Securities Corporation | Carpinteria | CA | 06/2023 | 11/2024 |
| The Advisory Group, Inc. | Davenport | IA | 06/2023 | 11/2024 |
| The Advisory Group, Inc. | Davenport | IA | 11/2024 | 10/2025 |
| Planmember Securities Corporation | Carpinteria | CA | 11/2024 | 10/2025 |
| Oakwood Capital Securities, Inc. | Minneapolis | MN | 10/2025 | Present |
| Alphastar Capital Management | Cornelius | NC | 10/2025 | Present |
| Alphastar Capital Management Quad Cities | Davenport | IA | 10/2025 | Present |
1) Alphastar Capital Management Quad Cities - 2210 E. 52nd St, Davenport, IA 52807; Investment related; Insurance sales & svcs; Insurance Agent; Start date 10/2025; 48 hrs/mnth during trading. 2) Oakwood Capital Securities - 600 Highway 169 S, Suite 1410, Minneapolis, MN 55426; Investment related; Brokerage; Registered Representative; Start date 10/2025; 48 hrs/mnth during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 2020-12-23 |
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