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Apex, NC • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2020-05-22 |
| VA | RA | APPROVED | 2007-02-06 |
| NC | RA | APPROVED | 2006-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Providence Group Of Nc, Llc | Apex | NC | 01/2005 | Present |
| One Providence Capital, Llc | Apex | NC | 11/2006 | Present |
THE PROVIDENCE GROUP OF NC, LLC MANAGING PRINCIPAL 111 LYNDENBURY DRIVE APEX, NC 27502-9615 START: 03/09/2005 LIFE/HEALTH INSURANCE LICENSE (NON-INVESTMENT RELATED) INDIVIDUAL LIFE/DISABILITY/FIXED ANNUITIES (NON-VARIABLE/NON-INVESTMENT RELATED) APPROXIMATELY 30 HOURS A MONTH. 7 HOURS A MONTH DURING TRADING HOURS DUTIES: INDIVIDUAL LIFE/HEALTH INSURANCE AGENT FOR FIXED PRODUCTS (NON-INVESTMENT RELATED) FIRST BANK & FIRST BANCORP, INC. DIRECTOR 205 SE BROAD STREET SOUTHERN PINES, NORTH CAROLINA 28387 START: 07/2021 SUBSIDIARY & HOLDING COMPANY -(NOT-INVESTMENT RELATED) (NOT AFFILIATED WITH ONE PROVIDENCE CAPITAL, LLC OR THE PROVIDENCE GROUP OF NC, LLC) CONSUMER BANKING/LOANS & DEPOSITS APPROXIMATELY 7 HOURS A MONTH. 2.5 HOURS A MONTH DURING TRADING HOURS DUTIES: MONITOR & GOVERN POLICES OF BANK OPERATIONS RBC FUNDS TRUST TRUSTEE 250 NICOLLET MALL MINNEAPOLIS, MN 55401 START: 01/01/2026 REGISTERED INVESTMENT COMPANY / MUTUAL FUND COMPLEX - (INVESTMENT RELATED) (NOT AFFILIATED WITH ONE PROVIDENCE CAPITAL, LLC OR THE PROVIDENCE GROUP OF NC, LLC) FIDUCIARY GOVERNANCE / OVERSIGHT OF MUTUAL FUNDS APPROXIMATELY 5 HOURS A MONTH. 3 HOURS A MONTH DURING TRADING HOURS DUTIES: SERVE AS TRUSTEE PROVIDING FIDUCIARY OVERSIGHT, GOVERNANCE, AND SUPERVISION OF FUND OPERATIONS, INCLUDING REVIEW OF INVESTMENT ADVISORY AGREEMENTS, COMPLIANCE MATTERS, AND SERVICE PROVIDER RELATIONSHIPS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-25 |
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