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303 Peachtree Street 2Nd Floor, Atlanta, GA 30303 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-15 |
| NC | RA | APPROVED | 2021-02-17 |
Branch Locations
620 N Main St Fl 2, High Point, NC 27262 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | High Point | NC | 08/2000 | 05/2018 |
| Bank Of America, N.A. | High Point | NC | 12/2009 | 05/2018 |
| Bb&T Securities | High Point | NC | 05/2018 | 02/2021 |
| Truist Investment Services, Inc. | High Point | NC | 02/2021 | Present |
| Truist Advisory Services, Inc. | High Point | NC | 02/2021 | Present |
HIGH POINT ECONOMIC DEVELOPMENT CORPORATION POSITION: Director NATURE: The HPEDC is charged with attraction, recruiting and helping further develop businesses in and to High Point NC. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/04/2018 ADDRESS: 211 S. Hamilton St, High Point NC 27260 BUSINESS HIGH POINT CHAMBER OF COMMERCE POSITION: Director - Immediate Past Chair NATURE: BHPI is the Chamber of Commerce in High Point NC, serving the needs of the business community in High Point in multiple ways. As a Board member I provide input and approve the functions of BHPI. Activities of BHPI include ideas on projects designed to transform High Point such as improvement of our Library Plaza, the creation of an Entrepreneurial Center, and support for the Downtown Baseball Stadium project. The Chamber focuses on Educational issues, Workforce Development, Member Services and Government Relations. Website for organization is www.bhpchamber.org. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/04/2018 ADDRESS: 1634 N Main St, High Point NC 27262 HIGH POINT DOWNTOWN STADIUM FOUNDATION AND HIGH POINT BASEBALL INC. POSITION: Director of Downtown Stadium Foundation and Chairman of the Board of High Point Baseball Inc. NATURE: The Foundation owns and runs the Atlantic League Professional baseball team in High Point. The Foundation is also responsible for the leasing and management of the Downtown Stadium which is currently under construction. The stadium is owned by the City of High Point but under lease by the Foundation. High Point Baseball Inc. runs the operations of the High Point Rockers, an Atlantic League Baseball Team. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 06/04/2018 ADDRESS: High Point NC, United States DESCRIPTION: Monthly Board meeting where input, leadership and votes are provided as to the direction of the team and use of the stadium. Limited day to day responsibility as a full time Team President, Pete Fisch, runs the team. ATLANTIC LEAGUE OF PROFESSIONAL BASEBALL POSITION: Director NATURE: As an already Truist approved member of the Board High Point Baseball Inc which owns the High Point Rockers, I have been nominated and approved to serve on the Board of the Atlantic League representing the High Point Rockers. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/10/2024 ADDRESS: Lancaster PA, United States DESCRIPTION: Represent the High Point Rockers organization in making decisions for the Atlantic League of Professional Baseball. FREEWAYS TO FAIRWAYS POSITION: Owner NATURE: Custom transportation service for golf, social or corporate functions utilizing a customized sprinter van. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 12/01/2025 ADDRESS: Greensboro NC, United States DESCRIPTION: Just oversee the business, anticipate very limited time requirement.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1988-09-21 |
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