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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-08-14 |
| KS | RA | APPROVED | 2025-04-18 |
| CO | RA | APPROVED | 2024-10-25 |
| LA | RA | APPROVED | 2024-03-11 |
| SC | RA | APPROVED | 2022-05-05 |
| NC | RA | APPROVED | 2022-01-14 |
Branch Locations
6115 Park South Drive Suite 200, Charlotte, NC 28210 • United States
Mt. Holly, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Regulus Advisors, Llc | Kentwood | MI | 06/2015 | 05/2019 |
| Advisory Services Network, Llc | Atlanta | GA | 09/2015 | 06/2018 |
| Greater Media | Charlotte | NC | 08/2014 | 08/2020 |
| Dempsey Lord Smith, Llc | Rome | GA | 11/2019 | 11/2021 |
| Guardian Life Insurance Company | Charlotte | NC | 11/2021 | Present |
| Park Avenue Securities | Charlotte | NC | 12/2021 | Present |
| Guardian Life Insurance Company | Mt. Holly | NC | 06/2024 | Present |
| Guardian Life Insurance Company | Mt. Holly | NC | 06/2024 | Present |
1) Real Estate Broker, Start date: 01/02/2002, Address: 412 Stonewater Bay Lane, Mount Holly, NC 28120, 0 total hours per month; Investment related, Less than 10% annual compensation, 2) BNI-President of the chapter, Start date: 02/17/2025, Address: N/A, 8 total hours per month; 8 during securities trading hours, Not Investment related, No annual compensation, 3) Turo-peer to peer car rental, Start date: 05/1/2025, Address: 412 Stonewater Bay Lane, Mount Holly, NC 28120, 4 total hours per month; 0 during securities trading hours, Not Investment related, Less than 10% annual compensation, 4) Insurance other than Guardian, Start date: 10/1/2025, Address: 6115 Park South Drive, Suite 200 Charlotte, NC 28210, 5 total hours per month; 5 during securities trading hours, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-03 |
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