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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-23 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrril Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 05/2013 | 02/2023 |
| Bank Of America, N.A. | Charlotte | NC | 07/2013 | 02/2023 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 02/2023 | Present |
RENTAL PROPERTY, INVT RELATED, MOORESVILLE, NC, 50% OWNERSHIP, START DATE 3/2/2023, 10 HRS PER MONTH, 0 HRS DURING TRADING, PROPERTY OWNER. EXECUTOR FOR FATHER, INV RELATED, CHARLOTTE, NC, START: 3/1/2020, 1 HOUR A MONTH, 0 HOURS DURING TRADING. SUNFLOWER552 LLC; INV RELATED; CHARLOTTE, NC; 50% OWNERSHIP; START DATE 9/21/2023; 5 HOURS PER MONTH, 0 HOURS DURING TRADING; OWNERSHIP. RENTAL PROPERTY, INV RELATED, MOORESVILLE, NC, 50% OWNERSHIP, START: 3/5/24, 0 HRS MONTH/DURING TRADING; | RENTAL PROPERTY; INV RELATED; MOORESVILLE, NC; 100% OWNERSHIP WITH SPOUSE; 02/2025; 20 HOURS PER MONTH; NO HOURS DURING TRADING; RENTAL
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-23 |
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