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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-07-27 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Concord, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Securities, Llc | Charlotte | NC | 06/2022 | 07/2023 |
| Propane Ninja | Tampa | FL | 11/2020 | 07/2021 |
| Investments Limited | Boca Raton | FL | 08/2018 | 07/2020 |
| Publix | Delray Beach | FL | 08/2016 | 01/2019 |
| Florida State University | Tallahassee | FL | 05/2019 | 04/2022 |
| Spanish River Community High School | Lake Worth | FL | 08/2015 | 05/2019 |
| Nuveen Asset Management Llc | Chicago | IL | 07/2022 | 07/2023 |
| Drive Jewelers | Charlotte | NC | 11/2022 | Present |
| Tiaa | Charlotte | NC | 07/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 07/2023 | Present |
(1) Name: Drive Jewelers Position: owner Nature: Jewelry sales Investment Related: No Hours: 25Securities Trading Hours: 0Start Date: 09/21/2022 Address: Home Address, CHARLOTTE NC 28213, United States Description: setting diamonds into jewelry & selling it for profit (2) THE CARD SYNDICATE POSITION: Owner NATURE: Reselling trading cards purchased at wholesale prices INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: Home Address, Concord NC 28025, United States DESCRIPTION: I will be the owner & operator of the business. I will be buying & selling trading cards. I will buy at wholesale and sell individually or in bundles. (3) DOOR DASH POSITION: Driver NATURE: Door dash food delivery driver. I will be doing this in my freetime on the weekends. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/27/2025 ADDRESS: 303 2nd Street, South Tower, Suite 800, San Francisco CA 94107, United States DESCRIPTION: I will pick up and deliver food for people. (4) GK SUPPLY CO POSITION: Owner NATURE: Reselling trading cards & household items purchased at wholesale prices INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: home address, Concord NC 28025, United States DESCRIPTION: I will be the owner & operator of the business. I will be buying & selling trading cards. I will buy at wholesale and sell individually or in bundles.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-10-01 |
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