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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-05-19 |
Branch Locations
Mooresville, NC • United States
131 Plantation Ridge Suite 509, Mooresville, NC 28117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 06/1998 | 08/2021 |
| Bank Of America, N.A. | Charlotte | NC | 06/1998 | 08/2021 |
| Mml Investors Services, Llc | Charlotte | NC | 12/2025 | Present |
| Massmutual Life Insurance Company | Charlotte | NC | 11/2025 | Present |
| Costco | Mooresville | NC | 04/2023 | Present |
| Self-Employed / Author / Lecturer | Mooresville | NC | 09/2021 | Present |
(1) NAME: JAY MALICK, INV REL: Y, ADD: AT RESIDENTIAL ADDRESS, NATURE: AUTHOR AND BOOK SALES, POSITION: AUTHOR, START DATE: 11/01/2022, NO. HR/MO: 1, NO. HR/MO DURING SEC TRADING: 0 (2) NAME: COSTCO INV REL: N ADD: 392 TALBERT ROAD #1333, MOORESVILLE, NC 28117 NATURE: MEMBERSHIOP -ONLY WAREHOUSE CLUB POSITION: MEMBER SERVICES START DATE: 04/02/2023 NO. HR/MO: 25 NO. HR/MO DURING SEC TRADING: 0 DUTIES: LOT SECURITY, AS WELL AS WELCOMING MEMBERS INTO THE WAREHOUSE AND CHECKING RECEIPTS ON THE WAY OUT OF THE WAREHOUSE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 1992-03-02 |
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