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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-07-18 |
Branch Locations
305 Broad Street, New Bern, NC 28560 • United States
8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pruco Securities, Llc | Raleigh | NC | 08/2015 | 07/2017 |
| The Prudential Insurance Company Of America | Raleigh | NC | 08/2015 | 07/2017 |
| First Citizens Investor Services | Raleigh | NC | 07/2017 | Present |
1. Creek Pointe HOA at 578 Water View Rd., New Bern, NC 28560. Nature of Business is a Home Owner's Association. Position is Vice President. Duties are to vote on matters pertaining to the neighborhood such as road grading/maintenance, materials and covenants. No compensation. Not investment related. Not a client of the Firm. 1 hr/month. 0 hrs/month during trading hours. 2. Craven County Health Department board member. New Bern NC 28562. Not investment related. 1 hour per month, 1 trading hour per month. Responsible for efficient operation of the health center.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-26 |
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