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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2020-06-08
  • SC RA
    APPROVED
    Since 2020-06-08

Branch Locations

119A Professional Park Dr, Seneca, SC 29678-2558 • United States

4481 Oleander Dr Ste 1B, Myrtle Beach, SC 29577 • United States

Myrtle Beach, SC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Myrtle Beach SC 09/2014 06/2020
Carolinas Wealth Management Columbia SC 04/2007 06/2020
Ameriprise Financial Services, Llc Myrtle Beach SC 06/2020 Present
  • 09/2014 → 06/2020
    Voya Financial Advisors
    Myrtle Beach, SC
  • 04/2007 → 06/2020
    Carolinas Wealth Management
    Columbia, SC
  • 06/2020 → Present
    Myrtle Beach, SC
Previous Registrations
  • 2001-12-31 → 2020-06-12
    Columbia, SC
    Myrtle Beach, SC
    Seneca, SC
    Simpsonville, SC
    Greenville, SC
    Chapin, SC
    North Charleston, SC
    Greenville, SC
    Mt Pleasant, SC
    Murrells Inlet, SC
    Mt Pleasant, SC
    Charlotte, NC
    Kings Mountain, NC
    Greenville, SC
Other Businesses

Business Ownership; Carolinas Wealth Management Inc.; Managing Partner; Financial Planning; 1300 Professional Drive, Suite 202, , Myrtle Beach, SC, 29577; Investment-Related; 06/08/2020; 40 to 59 hours per month; 40 to 59 during trading hours / Med Pro; Co-owner; The business will be a Med Spa; 7727 N Kings Hwy, , Myrtle Beach, SC, 29572; Not Investment-Related; 12/08/2025; 0 hours per month; 0 during trading hours. Outside Employment; Carolinas Wealth Management Inc.; Managing Partner - Financial Planning; ; 1300 Professional Drive, Suite 202, , Myrtle Beach, SC, 29577; Investment-Related; 06/08/2020; 40 to 59 hours per month; 40 to 59 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-02
S63 Uniform Securities Agent State Law Examination 1992-07-06
  • S65 Uniform Investment Adviser Law Examination
    2001-03-02
  • S63 Uniform Securities Agent State Law Examination
    1992-07-06
Other Names
  • David Monckton

View on SEC IAPD

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