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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-12-01 |
Branch Locations
707 Green Valley Road Fl 1, Greensboro, NC 27408 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Charlotte | NC | 06/2004 | 12/2020 |
| Wells Fargo Advisors Llc | High Point | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | High Point | NC | 11/2016 | 12/2020 |
| Raymond James Financial Services, Inc | Greensboro | NC | 12/2020 | Present |
| Raymond James Financial Services Advisors, Inc | Greensboro | NC | 12/2020 | Present |
| Pinnacle Asset Management | Greensboro | NC | 12/2020 | Present |
| Pinnacle Financial Partners/Pinnacle Bank | Greensboro | NC | 12/2020 | Present |
| Capstone Investment Partners | Greensboro | NC | 12/2020 | Present |
(1)Name of Business: Capstone Investment Partners Address: 707 Green Valley Rd Fl 1, Greensboro, NC, 27408-7019, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/01/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide financial advice for clients through retirement planning and asset management services. (2)Name of Business: Pinnacle Asset Management Address: 707 Green Valley Rd, Greensboro, NC, 27408, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/01/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: provide wealth management services to clients and prospects
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-22 |
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