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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-06-13 |
Branch Locations
11325 North Community House Road Suite 600, Charlotte, NC 28277 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Malvern | PA | 06/2014 | 11/2017 |
| The Vanguard Group, Inc. | Malvern | PA | 11/2017 | 10/2018 |
| The Vanguard Group, Inc. | Malvern | PA | 10/2018 | 03/2022 |
| The Vanguard Group, Inc. | Charlotte | NC | 03/2022 | 09/2023 |
| Bank Of America | Charlotte | NC | 09/2023 | 01/2025 |
| Ubs Financial Services Inc | Charlotte | NC | 06/2025 | Present |
| Unemployed | Charlotte | NC | 01/2025 | 06/2025 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-18 |
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