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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-31 |
| NC | RA | APPROVED | 2022-02-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| State Employees' Credit Union | Charlotte | NC | 12/2015 | 12/2021 |
| Secu Brokerage Services | Raleigh | NC | 07/2019 | 12/2021 |
| Secu Life Insurance Company | Raleigh | NC | 07/2019 | 12/2021 |
| Credit Union Investment Services | Raleigh | NC | 10/2019 | 12/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 12/2021 | Present |
| Bank Of America, N.A. | Charlotte | NC | 02/2022 | Present |
I*2797270, Entity Type: , Name of OBA: N N J, Address: Charlotte, North Carolina, 28277, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 09/11/2025, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: I*4389269, Entity Type: , Name of OBA: R J C, Address: Shallotte, North Carolina, 28470, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 04/13/2026, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2019-10-21 |
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