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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-01-24 |
Branch Locations
8816 Six Forks Road Suite 301, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade, Inc. | Boca Raton | FL | 06/2005 | 02/2018 |
| Td Ameritrade, Inc. | Raleigh | NC | 02/2018 | 01/2022 |
| Td Ameritrade Investment Management, Llc | Omaha | NE | 02/2018 | 01/2022 |
| Royal Alliance | Raleigh | NC | 01/2022 | Present |
1. CAPITOL FINANCIAL SOLUTIONS POSITION: Registered assistant NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 87 SECURITIES TRADING HOURS: 87 START DATE: 01/26/2022 ADDRESS: 8816 Six Forks Rd #301, Raleigh NC 27615, United States DESCRIPTION: I am an assistant to Financial Professionals of the firm and assist them with their business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-04 |
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