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132 North First Street, Albemarle, NC 28001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2012-11-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Anson County Parks And Recreation | Wadesboro | NC | 05/2008 | Present |
| Private Client Services Llc | Louisville | KY | 11/2012 | Present |
| Private Client Services Llc | Louisville | KY | 11/2012 | Present |
1) UWHARRIE INVESTMENT ADVISERS, 132 N FIRST ST, ALBEMARLE, NC 28001. SECURITIES-RELATED; INVESTMENT ADVISER REPRESENTATIVE. 100 HRS/MONTH DURING TRADING HOURS. 2)STRATEGIC INVESTMENT ADVISERS/UWHARRIE BANK LOAN REFERRALS, REFERRING SIA CLIENTS TO UWHARRIE BANK FOR LOAN NEEDS, 167 N 2ND ST, ALBEMARLE, NC 28001. NON-INVESTMENT RELATED, 5 HRS PER MONTH, NONE DURING TRADING HRS. ESTIMATED ANNUAL EARNINGS WILL BE VARIABLE (20 BASIS POINTS ON OUTSTANDING LOAN BALANCE PAID QUARTERLY). 3) SALE OF NON-INVESTMENT RELATED INSURANCE PRODUCTS THROUGH VARIOUS CARRIERS. 4) The Cason Group. Charlotte, North Carolina. Financial Service division for life insurance, health and long-term care insurance. Will be doing some insurance business through The Cason Group on life, long-term care and possibly health for small business. 3 hours/mo; 3 during trading hours. 5) South Piedmont Community College. 680 US Polkton, NC 28135. Non Profit Foundation. Foundation Board Member. 2 hrs/mo; 2 during trading hrs. 6) Uwharrie Bank. 167 N Second Street, Albemarle, NC. Uwharrie Bank. Executive Vice President and Market Executive for Anson County. More presence in a public relations and business development role. Will continue to focus on wealth management business development. 20 hrs/mo; 20 during trading hrs. 7) Xtra Innings, LLC. 2543 West Blvd, Chesterfield, SC 29709. Baseball & softball practice facility. 25% owner/investor i the partnership. Help recruit new members. 25 hrs/mo; 0 during trading hrs. 8) Three Brothers Holdings. This company looks for investment opportunities in real estate and small business investment, 1/3 owner. 10 hrs/mo; 0 during trading hrs. 9) John P. Murray Community Care Clinic Board Member. 303 Yadkin Street, Suite C, Albemarle, NC 28001. The John P. Murray Community care clinic provides medical care, and medications to low income, uninsured adults. Board member. 1 hr/mo; 1 during trading hrs. Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-03 |
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