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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-04-17 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc | Charlotte | NC | 01/2022 | 05/2022 |
| Wells Fargo | Mooresville | NC | 06/2018 | 01/2022 |
| Buffalo Wild Wings | Mooresville | NC | 04/2018 | 06/2018 |
| Staples | Mooresville | NC | 03/2017 | 04/2018 |
| Lake Norman High School | Mooresville | NC | 08/2013 | 06/2017 |
| Mitchell Community College | Statesville | NC | 08/2017 | 05/2020 |
| University Of North Carolina At Charlotte | Charlotte | NC | 08/2020 | 12/2021 |
| Wells Fargo Clearing Services, Llc | Cornelius | NC | 01/2024 | Present |
| Wells Fargo Bank, Na | Cornelius | NC | 11/2022 | Present |
| Fifth Third Bank | Mooresville | NC | 07/2022 | 11/2022 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 2024-03-25 |
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