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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-21 |
Branch Locations
1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc | Charlotte | NC | 10/2023 | 07/2024 |
| Self-Employment | Charlotte | NC | 10/2018 | Present |
| Charles Schwab | Lone Tree | CO | 06/2022 | 08/2022 |
| Walgreens | Garner | NC | 06/2019 | 06/2020 |
| Student | Smithfield | NC | 08/2013 | 05/2020 |
| Unc Charlotte | Charlotte | NC | 08/2020 | 05/2023 |
| Jason Garey | Raleigh | NC | 10/2024 | Present |
| Kelly Parker | Raleigh | NC | 10/2024 | Present |
| Robert Rauf | Raleigh | NC | 10/2024 | Present |
| Northwestern Mutual Investment Services Llc | Raleigh | NC | 11/2024 | Present |
| Charles Schwab | Remote | NC | 06/2022 | 09/2022 |
1. Chop USA Hockey, not investment related, 1066 Fieldtrial Circle Garner, NC 27529, active level 4 official, On-Ice Official, self-employed contract work, 10/2018, 20 hours per month, 0 hours during securities trading hours, Manage the general flow of youth and adult hockey games sanctioned by USA Hockey by assessing game penalties for rule violations and ejecting players with serious conduct violations. NON INVESTMENT RELATED. 2. ON-ICE OFFICIAL, CHARLOTTE HOCKEY OFFICIATING PROGRAM, 4705 INDIAN TRAIL FAIRVIEW RD, INDIAN TRAIL, , NORTH CAROLINA, 28079, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 03/31/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OFFICIATE ICE HOCKEY IN ACCORDANCE WITH THE RULES AND REGULATIONS OF USA HOCKEY. CALL PENALTIES, GOALS, ASSISTS, AND CREATE A SAFE PLAYING ENVIRONMENT. NON-INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-05 |
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