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325 W. Pennsylvania Ave Ste E, Southern Pines, NC 28387 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-07-26 |
| NC | RA | APPROVED | 2024-03-28 |
Branch Locations
325 W. Pennsylvania Ave Ste E, Southern Pines, NC 28387 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pinehurst | NC | 08/1994 | 03/2024 |
| Bank Of America,Na | Pinehurst | NC | 09/2009 | 03/2024 |
| The Pines Wealth Management, Llc | Southern Pines | NC | 03/2024 | Present |
| Purshe Kaplan Sterling Investments, Inc. | Southern Pines | NC | 03/2024 | Present |
1) The Pines Wealth Management. Investment Related. At Registered Location. RIA. Principal, Wealth Management Advisor. Start Date: 03/28/2024. 160 hrs/ month; 117 hrs/ month during trading hours. Provide advice to clients 2) Fixed Insurance. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 03/28/2024. 1 hr/ month; all during trading hours. Provide insurance advice to based on the needs of client(s). 3) PKSF. Investment Related. At Registered Location. Fixed / Traditional Insurance. Agent. Start Date: 03/28/2024. 1 hr/ month; all during trading hours. Provide insurance advice to based on the needs of client(s).
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-06 |
| S65 | Uniform Investment Adviser Law Examination | 1994-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-07 |
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