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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-04-27 |
| NC | RA | APPROVED | 2018-06-06 |
Branch Locations
6000 Fairview Road Suite 500, Charlotte, NC 28210-3254 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 06/2018 |
| Rbc Capital Markets, Llc. | Charlotte | NC | 06/2018 | Present |
| City National Bank | Charlotte | NC | 06/2020 | Present |
ETTA VA LLC; ADDRESS: 7830 PLEASANT GROVE ROAD, CHARLOTTE, NC; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: REAL ESTATE HOLDING CO.; CAPACITY: PARTNER; START DATE: 6/8/2008; DUTIES: NON-PASSIVE INVESTOR; HOURS DEVOTED PER MONTH: 0 ; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. 2) NAME OF ENTITY: First Tee of Greater Charlotte ADDRESS: 2661 Revolution Park Drive Charlotte, NC 28208 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charity CAPACITY: Board of Directors * START DATE: 7/30/22 DUTIES: General guidance and leadership HOURS DEVOTED PER MONTH: .25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-29 |
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