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601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-11-03 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gwfs Equities, Inc | Milwaukee | WI | 02/2017 | 07/2018 |
| Unemployed | Landrum | SC | 10/2016 | 02/2017 |
| Lpl Financial | Charlotte | NC | 12/2013 | 10/2016 |
| Unemployed | Phoenix | AZ | 07/2018 | 11/2018 |
| Morgan Stanley | Gilbert | AZ | 11/2018 | 09/2020 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 02/2019 | 09/2020 |
| The Vanguard Group, Inc. | Scottsdale | AZ | 10/2020 | 05/2021 |
| Ally Invest Securities Llc | Charlotte | NC | 05/2021 | Present |
| Ally Invest Advisors | Charlotte | NC | 10/2021 | Present |
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Analyst - ECR. Dually licensed. 10/30/2021. 0-20hrs/month. Reviewing and responding to customer complaints related to Ally Invest Advisors
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 2017-03-10 |
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