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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-24 |
| MI | RA | APPROVED | 2020-05-21 |
Branch Locations
20301 West Catawba Ave, Cornelius, NC 28031 • United States
7471 E Cross Drive, Denver, NC 28037 • United States
16719 Birkdale Commons Parkway, Huntersville, NC 28078 • United States
10400 Mallard Creek Rd Ste 100, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Traverse City | MI | 09/2014 | Present |
| Fifth Third Securities | Traverse City | MI | 09/2019 | Present |
Ink City Books - Traverse City, MI 49696 - self published fiction novels -owner/author - 10 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-29 |
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