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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-07-08 |
Branch Locations
1212 Main St, Columbia, SC 29201 • United States
128 S Tryon Street, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Investments | Charlotte | NC | 12/2014 | 05/2019 |
| First Citizen Investor Services | Raleigh | NC | 06/2020 | 01/2026 |
| First Citizens Asset Management | Columbia | SC | 06/2020 | 01/2026 |
| Pnc Bank | Charlotte | NC | 05/2019 | 06/2020 |
| First Citizens Investor Services | Raleigh | NC | 01/2026 | Present |
1. RATE Properties/RATE PA Properties: 8105 Early Bird Way, Mint Hill, NC 28227. Real Estate Rehab and Rentals. Position is Owner. Duties are to keep properties that I own occupied with tenants and maintenance upkeep. Also occasional rehabbing and flipping. Began 10/1/2018. 4 hrs/month, 0 hrs/month during trading hours. Not investment related. Not a client of the Firm. Compensation is rent/spread from buy/sells of properties.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-13 |
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