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161 Washington Street Suite 1200, Conshohocken, PA 19428 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2023-04-10 |
| PA | RA | APPROVED | 2023-04-04 |
| NC | RA | APPROVED | 2023-04-03 |
Branch Locations
701 Green Valley Road Suite 308, Greensboro, NC 27408 • United States
161 Washington Street Suite 1200, Conshohocken, PA 19428 • United States
1166 Avenue Of The Americas, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-03 |
| VA | RA | APPROVED | 2023-04-03 |
Branch Locations
701 Green Valley Rd Suite 308, Greensboro, NC 27408 • United States
701 Green Valley Road Suite 308, Greensboro, NC 27048 • United States
101 Huntington Ave Suite 401, Boston, MA 02199 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp._ | San Diego | CA | 05/2005 | 04/2023 |
| Marsh Mclennan Agency | Greensboro | NC | 01/2021 | Present |
| Mma Securities Llc | Greensboro | NC | 04/2023 | Present |
1. INDEPENDENT FIXED INSURANCE BUSINESS / WRITING UNIVERSAL LIFE, WHOLE LIFE, TERM LIFE, DISABILITY, LONG TERM CARE AND CRITICAL ILLNESS INSURANCE / GREENSBORO, NC / APPROVED FEBRUARY 3, 2005 2. 09/03/2015 - COMPASS REAL ESTATE PARTNERS, LLC - REAL ESTATE RENTAL - NOT INV REL - 3903 NORTH ELM STREET GREENSBORO NC 27455 - START 09/17/2013 - 1 HRS/MO NOT DURING SECS TRDG HRS. 3. The Registered Representative is an employee of Marsh & McLennan Agency LLC ("MMA Agency", 1166 Avenue of the Americas, New York, NY 10036), an affiliate of MMA Securities LLC. The Registered Representative conducts non-investment related business activities for MMA Agency (e.g. support for its insurance services). These other business activities are not subject to broker-dealer licensing and registration requirements. All MMA Securities activities remain subject to the Firm's supervisory framework. 4. Investment adviser representative of MMA ASSET MANAGEMENT LLC (8 Tower Bridge Suite 1200, Conshohocken, PA), an affiliate of MMA Securities LLC. Provides wealth management and financial planning services during securities trading hours. 5. University of North Carolina - Greensboro; 1400 Spring Garden Street, Greensboro NC 27412; not investment-related; Trustee; Higher Education; start date - July 2000; number of hours spent per month - 2 hrs; number of hours spent durin securities trading hours - 2 hours per month; Serves as advisor to Chancellor and University 6. Greensboro Police Foundation; 320 Federal Place, Greensboro, NC 27401; not investment-related; Board Member; Start Date - June 2022; number of hours spent per month - 1 hour; number of hours spent during securities trading hours - 1 hour per month; provides advocacy and financial support for Greensboro Police as part of board membership 7. Greensboro Sports Foundation; 2411 Gate City Blvd., Greensboro NC, 27403; not investment-related; Board Member; Start date - January 2023; number of hours spent per month - 2 hours; number of hours spent during during securities trading hours - 1 hour per month; provides general financial support and advocacy for the organization as part of board membership 8. United Way - Greater Greensboro; 1500 Yanceyville Street, Greensboro NC 27405; not investment-related; Committee co-chair of Tocqueville Society; Start date- 2019; number of hours spent per month - 1 hour; number of hours spent during securities trading hours - 0; Supports fundraising goals of the non-profit. 9. Center City Investors, LLC; Not Investment Related; 301 N Elm St. Suite 100 Greensboro, NC 27401; Real estate investment partnership; Voting Partner; Start Date 8/2025; Spend 4 hours a month; 2 hours spent during securities trading hours; Determine the disposition of real estate, including identifying the best and highest use for a 10-acre site in downtown Greensboro
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1992-04-28 |
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