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Ally Invest Advisors CRD 170301
$1.73B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-30 |
Branch Locations
601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States
Catawba, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 12/2013 | 02/2021 |
| 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. Associate Specialist-Invest Services. Dually licensed. 05/24/2021. 21-40 hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed or Advisory Accounts.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-09 |
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