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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-11-01 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Irving, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Lewisville | TX | 11/2007 | 07/2018 |
| Nylife Securities, Llc | Dallas | TX | 09/2018 | 08/2021 |
| New York Life Insurance Company | Dallas | TX | 08/2018 | 08/2021 |
| Trinity Financial Services, Llc | Greenville | TX | 05/2019 | 09/2020 |
| Eagle Strategies Llc | Greenville | TX | 09/2019 | 08/2021 |
| Trinity Financial & Insurance Services, Llc | Caddo Mills | TX | 09/2020 | 08/2021 |
| Ally Invest Advisors | Charlotte | NC | 08/2021 | Present |
| Ally Invest Securities Llc | Charlotte | NC | 12/2022 | Present |
Rental Properties. The address is 10408 Oak Creek Dr Greenville TX 75402; Start Date 11/2017; Role/Title: Owner; Investment Related; 1 hour per month; 0 hours per month during securities trading hours. Duties include verifying rental payments and handling repairs. Ally Invest Securities LLC Start Date 12/9/2022; Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally invest customers who may hold self-directed or advisory accounts. 0-20 hours per month.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2005-09-30 |
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