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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-06-20 |
Branch Locations
2906 Hull Road, Kinston, NC 28504 • United States
Landfall Executive Suites 1213 Culberth Drive, Suite 137, Wilmington, NC 28405 • 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Kinston | NC | 09/2005 | 06/2019 |
| Commonwealth Financial Network | Waltham | MA | 06/2019 | Present |
| Crossbridge Financial Group, Llc | Kinston | NC | 06/2019 | Present |
1.Fixed insurance sales, as an Agent; as of 06/14/2019; Approximately 10% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Owner, Michael E. Spears Inc. a Private Entity established to facilitate Securities and advisory Business; Located at Kinston, NC as of 06/14/2019; 5% time spent during business hours; Conducted at branch; Investment related. 3. Co-owner of rental property located in Kinston, NC, as of 06/14/2019; Less than 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 4. Owner, Michael E. Spears Inc. a Private Entity established to facilitate Securities and advisory Business; Located at Kinston, NC as of 06/14/2019; 5% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-11 |
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