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1717 Arch Street, Philadelphia, PA 19103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-11-25 |
| FL | RA | APPROVED | 2024-11-18 |
Branch Locations
4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W Baird | Charlotte | NC | 03/2014 | 11/2024 |
| Janney Montgomery Scott Llc | Charlotte | NC | 11/2024 | Present |
S & A Acquisition, Charlotte, NC. General Partner for Real Estate Investment (12/2004) - duties includes filing taxes. Not compensated, investment related, 1 hour/month. S & A 2 Acquisition, Charlotte, NC. General Partner for Real Estate Investment (12/2004) - duties includes filing taxes. Not compensated, investment related, 1 hour/month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 1979-11-30 |
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