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Current Employers
Ally Invest Advisors

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-11-05
  • TX RA
    APPROVED
    Since 2021-11-05

Branch Locations

Keller, TX • United States

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Draper UT 10/2011 10/2019
Charles Schwab & Co., Inc. Westlake TX 10/2019 03/2021
Ally Invest Securities Llc Charlotte NC 05/2021 Present
Ally Invest Advisors Charlotte NC 11/2021 Present
Previous Registrations
  • 2019-11-21 → 2021-04-15
    Westlake, TX
    Westlake, TX
  • 2011-10-20 → 2019-10-17
    Td Ameritrade, Inc.
    Omaha, NE
    Draper, UT
    Fort Worth, TX
    Westlake, TX
    Fort Worth, TX
    Southlake, TX
    Jersey City, NJ
    Omaha, NE
    Jersey City, NJ
  • 2019-09-30 → 2019-10-17
    Td Ameritrade Investment Management, Llc
    Southlake, TX
  • 2011-10-20 → 2019-06-13
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
    Draper, UT
    Southlake, TX
Other Businesses

Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Director-Digital Product. Dually licensed. 04/12/2021.40+ hrs/month. Digital product owner affiliated with the Wealth Management and Robo products

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-13
S63 Uniform Securities Agent State Law Examination 2010-12-30
  • S66 Uniform Combined State Law Examination
    2011-10-13
  • S63 Uniform Securities Agent State Law Examination
    2010-12-30

View on SEC IAPD

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