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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-05-30 |
Branch Locations
4950 S 48Th St, Phoenix, AZ 85040 • United States
100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Surprise | AZ | 02/2015 | 07/2016 |
| Jpmorgan Chase Bank | Surprise | AZ | 02/2015 | 07/2016 |
| Wells Fargo Advisors Llc | Sun City | AZ | 08/2016 | 11/2016 |
| Wells Fargo Bank, Na | Sun City | AZ | 07/2016 | 10/2021 |
| Wells Fargo Clearing Services, Llc | Sun City | AZ | 11/2016 | 10/2021 |
| Lpl Financial, Llc | Phoenix | AZ | 10/2021 | 12/2022 |
| Bmo Harris Bank | Phoenix | AZ | 10/2021 | 12/2022 |
| First Citizens Investor Services | Raleigh | NC | 05/2024 | Present |
| Arizona Bank & Trust | Phoenix | AZ | 12/2022 | 12/2023 |
| Unemployed | Phoenix | AZ | 12/2023 | 05/2024 |
1) 9/2021 - Notary - Andrea Gilbert - Not Investment Related - Phoenix, AZ 85044 2) 10/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - Phoenix, AZ 85044 3) 10/2021 - Financial Institution Duty - BMO HARRIS BANK - Investment Related - Phoenix, AZ 85044 4) 2/1/2024-Uber-1455 Market ST. #400 San Francisco, CA 94103; I drive my daughter 1-2 hours every other weekend so she can raise money for charity, duties are pick up groceries/food and deliver to personal residences; fee based compensation
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-09-23 |
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