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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-14 |
| NC | RA | APPROVED | 2018-12-24 |
Branch Locations
380 Knollwood St, Winston Salem, NC 27103 • United States
620 S Tryon St, Charlotte, NC 28255 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Winston-Salem | NC | 07/2018 | Present |
| Wells Fargo | Charlotte | NC | 03/2010 | 07/2018 |
I"391405",Name of OBA: Ashford Capital, LLC Address: Winston-Salem, North Carolina, Investment Related: No Position, Title: General Partner/Managing Member, Employee Start Date: 10/20/2022,No Hours: 2, Mthly No Hours: during trading: 0Duties: to own a rental home/airbnb I*136106For profit or not for profit: Non-Profit Organization Name of outside business organization: Leukemia & Lymphoma Society Investment related: N Address of business: Rye Brook, New York 10573Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 2/12/2021Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0Duties: Executive Committee Member for "Light the Night" Walk Fundraiser for LLS I* 1829273For profit or not for profit: Entity For Profit Name of outside business organization: Ridgewood Sunset, LLC Investment related: no Address of business: Kiawah Island, LLC, SC, 29455Nature of business: Limited Liability Company Position, title, association: General Partner/Managing Member Start date of relationship: 05/13/2024Number of hours devoted: 1 monthly Number of hours devoted during trading hours: 0Duties: LLC manager for property I*1892259, Entity Type Entity Charitable, Name of OBA: Leadership Winston-Salem Address: Winston-Salem, North Carolina27101 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 07/01/2024No Hours: 4 monthly No Hours during trading: 0 Duties: Director on Board of Directors I*: 2118259Entity Type: CharitableName of OBA: NOVANT HEALTH FORSYTH MEDICAL CENTER FOUNDATIONAddress: Winston Salem, NC 27103Investment Related: NoPosition, Title, Association: Board Member Employee Start Date: 1/1/2025Number of Hours: 4 hrs mthlyNumber of Hours during trading: 2 hrs mthlyDuties: Help represent the interest of Novant health foundation in the community by supporting it's programs and helping provide governance over it's endeavors to provide quality healthcare in underserved communities, and ways for all to get treatment. I*3034264, Entity Type: Entity For Profit, Name of OBA: Oak Vista, LLC, Address: Winston Salem, North Carolina, 27106, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 10/22/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: 50% owner and LLC manager, hold a property to fix up and/or rent I*1892259, Entity Type: Entity Charitable, Name of OBA: Leadership Winston-Salem, Address: Winston-Salem, North Carolina, 27101, Investment Related: N, Position, Title, Association: ["Board Member"], Employee Start Date: 07/01/2024, No Hours: 4 Monthly, No Hours during Trading: 0 Monthly, Duties: board member and committee lead for resource development The mission of Leadership Winston-Salem is educating, connecting and energizing leaders to serve and improve the community.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-21 |
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