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9130 Galleria Court Third Floor, Naples, FL 34109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-01-06 |
Branch Locations
9130 Galleria Court Third Floor, Naples, FL 34109 • United States
4201 Congress Street Suite 140, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities | Charlotte | NC | 01/2014 | 06/2018 |
| Bb&T | Gastonia | NC | 06/2018 | 01/2019 |
| Bbtis | Charlotte | NC | 06/2018 | Present |
| Bb&T | Gastonia | NC | 06/2018 | 09/2020 |
| Bb&T | Gastonia | NC | 01/2019 | Present |
| Fifth Third Bank | Cornelius | NC | 03/2016 | 06/2018 |
| Fifth Third Securities | Cornelius | NC | 09/2020 | Present |
| Fifth Third Bank | Cornelius | NC | 09/2020 | Present |
| Cwa Asset Management Group | Naples | FL | 01/2023 | Present |
B&B BUILDERS OF THE CAROLINAS POSITION: Signator NATURE: The Business is a residential Construction Company that specializes in flipping properties and Renting residential homes INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2014 ADDRESS: 5216 Providence Country Club Dr., Charlotte NC 28277 Smoak Holdings LLC; Investment Related; Charlotte NC; Rental Real Estate Holdings; Owner; Owner/Operator; 08/01/2024; 2 hours/month; 0 hours/trading hours; Investor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-30 |
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