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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-05-24 |
Branch Locations
8500 Andrew Carnegie Blvd Charlotte Trac, Charlotte, NC 28262 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Command Brokerage Services | Fort Worth | TX | 12/2022 | 02/2024 |
| Jani-King Of Charlotte | Concord | NC | 08/2015 | 03/2023 |
| First Command Brokerage Services | Fort Worth | TX | 04/2023 | 02/2024 |
| First Command Advisory Services | Fort Worth | TX | 04/2023 | 02/2024 |
| First Command Insurance Services | Fort Worth | TX | 04/2023 | 02/2024 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 05/2024 | Present |
| Tiaa | Charlotte | NC | 05/2024 | Present |
| Easton D Llc | Charlotte | NC | 03/2024 | Present |
(1) Name: Easton D, LLC Position: Employee Nature: The business completes many tasks, including floor work (scrubs, strip and wax), pressure washing, trash collection and removal, and other odds/ends and manual labor tasks. Investment Related: No Hours: 10 Securities Trading Hours: 0 Start Date: 03/04/2024 Address: 3433 Dashiel Dr, Charlotte NC 28262, United States Description: Complete manual work, such as floor work, pressure washing, or dumping trash trailers (2) DECADENCE POPCORN LLC POSITION: Customer Service NATURE: Decadence Popcorn LLC is retail popcorn shop that sells popcorn and other treats INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2025 ADDRESS: 22 Union St N, Suite 111, Concord NC 28025, United States DESCRIPTION: Assist customers with purchasing popcorn
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-04-08 |
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