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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-10-01 |
Branch Locations
4350 Congress St Suite 400, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Baird | Charlotte | NC | 07/2024 | Present |
| Unemployed | Charlotte | NC | 04/2024 | 06/2024 |
| Debtbook | Charlotte | NC | 10/2023 | 03/2024 |
| Unemployed | Louisville | KY | 08/2022 | 09/2023 |
| Shepherd Financial | Louisville | KY | 05/2022 | 07/2022 |
| Unemployed | Louisville | KY | 01/2014 | 04/2022 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2025-08-18 |
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