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10700 Sikes Place Suite 395, Charlotte, NC 28277 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2014-06-16 |
Branch Locations
10700 Sikes Place Suite 395, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Quantitative Process Llc | Charlotte | NC | 01/2013 | Present |
| Kovack Securities Inc. | Marietta | GA | 10/2014 | 07/2018 |
1) INSURANCE SALES - LICENSED SINCE 1991- CHARLOTTE, NC 28277; SALE OF FIXED/VARIABLE INSURANCE PRODUCTS; NON INVESTMENT RELATED; AGENT; INSURANCE SALES; 1% OF TIME SPENT. 2) BRAGG FINANCIAL ADVISORS, START DATE: JANUARY 2018 - CHARLOTTE, NC; INVESTMENT RELATED; TITLE: CONSULTANT, DUTIES INCLUDE: REVIEW OF RETIREMENT PLAN PROVISIONS, MONITOR RECORD-KEEPING, PERFORM COMPETITIVE FEE ANALYSIS, INVESTMENT MONITORING, 8 HOURS A MONTH, 6 DURING TRADING HOURS. 3) THALES COLLEGE, START DATE: JANUARY 2019 - RALEIGH, NC; NOT INVESTMENT RELATED; TITLE: TRUSTEE; DUTIES: OVERSIGHT AND OPERATIONAL ADVICE; ESTIMATED AT 2 HOURS A QUARTER, NO TIME DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-10 |
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