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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-04 |
| TX | RA | APPROVED | 2024-01-04 |
Branch Locations
1055 Military Cutoff Road Suite 200, Wilmington, NC 28405-4367 • United States
Wilmington, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scott & Stringfellow, Inc | Wilmington | NC | 11/2001 | 02/2021 |
| Bb&T Securities, Llc | Wilmington | NC | 01/2013 | 02/2021 |
| Truist Investment Services, Inc. | Wilmington | NC | 02/2021 | 01/2024 |
| Truist Advisory Services, Inc. | Wilmington | NC | 02/2021 | 01/2024 |
| Rbc Capital Markets, Llc | Wilmington | NC | 01/2024 | Present |
(1) ANDREW JAMES FARRELL IRRV TRUST POSITION: Trustee NATURE: Act as Trustee for the trust listed above since 3/13/06. Not sure why it is no longer listed under OBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/13/2006 ADDRESS: , Wilmington NC , United States DESCRIPTION: Act as Trustee per the trust agreement (2) NAME OF ENTITY: Cape Fear Enrichment Program ADDRESS: 1806 Mews Dr, Wilmington, NC, 28405 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE:19/02/2025 CAPACITY: Board of Directors DUTIES: Serving on Board of Directors as Secretary HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-12-28 |
| S65 | Uniform Investment Adviser Law Examination | 1996-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-29 |
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