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10800 Sikes Place Suite 230, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-01 |
| SC | RA | APPROVED | 2025-01-01 |
| NC | RA | APPROVED | 2024-07-02 |
| TX | RA | APPROVED | 2024-07-01 |
Branch Locations
10800 Sikes Place Suite 230, Charlotte, NC 28277 • United States
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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 01/2006 | 04/2022 |
| Independent Advisor Alliance | Charlotte | NC | 04/2022 | 04/2024 |
| Topsail Wealth Management Llc | Charlotte | NC | 04/2024 | Present |
1.) Topsail Wealth Mgmt. - DBA for RIA business - investment related - 04/22/2022 - 100% - Charlotte, NC 2.) Trustee Svcs - Provide trustee services for clients - 05/2024 - Charlotte, NC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-01 |
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