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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2017-11-07 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services, Llc | Greenwood Village | CO | 01/2014 | 07/2017 |
| Tiaa | Charlotte | NC | 08/2017 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 08/2017 | Present |
(1) ARTMILL PRINTS POSITION: Artmill keeps most of the revenue for selling the prints, but sends me a flat cut per print sold NATURE: Artmill INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/04/2022 ADDRESS: 448 N Halsted St, Chicago IL 60642, United States DESCRIPTION: Selling prints of my astrophotography photos. (2) SHOPIFY POSITION: Artist NATURE: Online store to facilitate the selling of my astrophotography images INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/08/2024 ADDRESS: 33 New Montgomery St, Ste 750, San Francisco CA 94105, United States DESCRIPTION: Artist, website maintenance, order processing (3) GRACE AND POINTE, LLC POSITION: Secretary NATURE: This is a dance boutique retail store owned by my wife that specializes in pointe shoe fittings. Products offered include all types of dance shoes (ballet, tap, ballroom, pointe, etc.) as well as various dance wear and accessories like leotards, bags, tights, and apparel. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 209 Gilead Road, Huntersville NC 28078, United States DESCRIPTION: Documenting profit/loss numbers and organizing in a spreadsheet for ease of viewing
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-01 |
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