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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2025-08-25 |
| AL | RA | APPROVED | 2025-08-15 |
| TX | RA | APPROVED_RES | 2025-08-15 |
| NC | RA | APPROVED | 2021-06-21 |
Branch Locations
Huntersville, NC • United States
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 05/2015 | 12/2020 |
| Principal Securities Inc | Huntersville | NC | 01/2021 | 05/2021 |
| Principal Life Insurance Company | Huntersville | NC | 01/2021 | 05/2021 |
| Tiaa | Charlotte | NC | 05/2021 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 05/2021 | Present |
Name: Centro Campesino Farmworker Center Position: Board member and Treasurer Nature: Centro Campesino empowers families and strengthens communities by providing affordable housing, homeownership support, economic and educational opportunities. Investment Related: No Hours: 3 Securities Trading Hours: 1 Start Date: 06/01/2005 Address: 35801 SW 186th Ave, Florida City FL 33034, United States Description: Board Member since 2005, and current Treasurer and Chair of Finance Committee.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-01-11 |
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