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303 Peachtree Street 2Nd Floor, Atlanta, GA 30303 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-29 |
Branch Locations
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 |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Charlotte | NC | 06/2002 | 09/2023 |
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 09/2023 |
| Truist Investment Services, Inc | Charlotte | NC | 09/2023 | Present |
| Truist Advisory Services, Inc | Charlotte | NC | 09/2023 | Present |
CHARLOTTE TENNIS ASSOC POSITION: Board member NATURE: Community tennis association INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2023 ADDRESS: Charlotte NC, United States DESCRIPTION: Organize local youth and adult tennis tournaments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-28 |
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