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9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-04-01 |
| AZ | RA | APPROVED | 2025-03-31 |
Branch Locations
9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial Engines | Phoenix | AZ | 09/2013 | 02/2023 |
| Alight Solutions | Lincolnshire | IL | 07/2023 | 12/2024 |
| Unemployed | Glendale | AZ | 02/2023 | 07/2023 |
| Unemployed | Glendale | AZ | 01/2025 | 02/2025 |
| Alight Solutions | Lincolnshire | IL | 03/2025 | Present |
The name of the other business; CCV whether the business is investment-related; No the address of the other business; 7007 W Happy Valley Rd, Peoria, AZ 85383 the nature of the other business; A Church that runs a youth sports program your position; title, or relationship with the other business; Referee the start date of your relationship; Referee Referee youth soccer games and help mentor younger referees. $1 the approximate number of hours/month you devote to the other business; 6-10 the number of hours you devote to the other business during securities trading hours; 0 and briefly describe your duties relating to the other business; Referee youth soccer games and help mentor younger referees.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-12-09 |
| S65 | Uniform Investment Adviser Law Examination | 2007-07-11 |
| S66 | Uniform Combined State Law Examination | 2005-06-20 |
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