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4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-01-10 |
Branch Locations
4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Raleigh | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 11/2016 | 01/2022 |
| Tradewinds, Llc. | Raleigh | NC | 01/2022 | Present |
MARY LYNN RICHARDSON FUND, INV RELATED, ADVISOR TO THE FUND, START 1/1/1995, BIANNUAL MEETINGS, PRIVATE FAMILY FOUNDATION. RICHARDSON CORPORATION; INV RELATED; FAMILY TRUST COMPANY HANDLING THE AFFAIRS OF FAMILY MEMBERS; DIRECTOR; START 1/1/2003; 0 HOURS PER MONTH, 0 DURING TRADING. WHITNEY GROUP, LLC, INVT RELATED, RALEIGH, NC, SUPPORT STAFF, START DATE 5/12/2021, 200 HRS PER MONTH, 130 HRS DURING TRADING, INVESTMENT REP OF FEE-ONLY RIA.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-03-31 |
| S65 | Uniform Investment Adviser Law Examination | 1992-03-12 |
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