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111 Center St, Little Rock, AR 72201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-04-04 |
| NC | RA | APPROVED | 2010-07-13 |
Branch Locations
4521 Sharon Road, Charlotte, NC 28211 • United States
101 S. Stratford Road, Winston-Salem, NC 27104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Winston-Salem | NC | 09/1979 | Present |
| Morgan Stanley Smith Barney | Winston-Salem | NC | 06/2009 | Present |
| Stephens Inc. | Winston-Salem | NC | 07/2010 | Present |
RONALD MCDONALD HOUSE OF WINSTON SALEM - 419 S HAWTHORNE RD, WINSTON SALEM, NC - NOT INVESTMENT RELATED - LODGING FOR FAMILIES WITH SICK CHILDREN - BOARD MEMBER/FINANCE COMMITTEE - 1 TO 2 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS - 1998; ZV Pate - 9210 Morgan St., Laurel Hill, NC - Not investment related - Inherited ownership of 117.5 shares from my mothers estate - began in 1960 - Farming, fast food, propane & gas distributorship, John Deere dealer - 0 hours devoted to the other business - 0 hours devoted during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1980-02-12 |
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