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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-04-01 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 09/2014 | 11/2020 |
| Tiaa | Charlotte | NC | 09/2014 | 11/2020 |
| Nuveen Securities, Llc | Charlotte | NC | 04/2022 | 11/2025 |
| Nuveen Asset Management Llc | Chicago | IL | 04/2022 | 11/2025 |
| Ci Logistics, Llc | Charlotte | NC | 11/2020 | 03/2022 |
| Wells Fargo Clearing Services | Charlotte | NC | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-07-21 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-13 |
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