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1200 17Th Street Suite 2000, Denver, CO 80202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-05-20 |
Branch Locations
201 South College Street Suite 2250, Charlotte, NC 28244 • United States
1200 17Th Street Suite 2000, Denver, CO 80202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 04/2013 | 11/2020 |
| Mercer Global Advisors Inc. | Charlotte | NC | 05/2026 | Present |
| Morton Malloy Realty | Charlotte | NC | 10/2015 | 11/2020 |
| Parsec Financial | Asheville | NC | 11/2020 | 04/2023 |
| Modera Wealth Management, Llc | Westwood | NJ | 04/2023 | 09/2025 |
| Motley Fool Wealth Management | Alexandria | VA | 09/2025 | 03/2026 |
CAPITAL GAINS ATM RESOURCES LLC, 2430 CAIRNS MILL CT, CHARLOTTE NC 28269. ATM INSTALLATION / MAINTENANCE, FINANCIAL SERVICES ADJACENT BUT NOT CONFLICTING. PRIVATE COMPANY, CO-OWNER & CEO, START 01/05/2024, DEVOTE 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-01 |
| S65 | Uniform Investment Adviser Law Examination | 2005-10-26 |
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