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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-05-27 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Hub, Charlotte, NC 28262 • United States
Stanley, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Corporation | Huntersville | NC | 11/2009 | 10/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 10/2017 | 02/2018 |
| Mml Investors Services, Llc | Chalotte | NC | 10/2017 | 02/2018 |
| Tiaa | Charlotte | NC | 02/2018 | 01/2025 |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 02/2018 | 01/2025 |
| Nuveen Securities, Llc | Charlotte | NC | 10/2021 | 01/2025 |
| Tiaa | Charlotte | NC | 05/2025 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 05/2025 | Present |
| Unemployed | Huntersville | NC | 01/2025 | 05/2025 |
| Gilreath Virtual Assistance Inc | Huntersville | NC | 04/2021 | 11/2024 |
(1) Name: American Legion Auxiliary Unit 321 Position: President Nature: Fundraising and volunteer work to support Veterans and active military/ first responders. Investment Related: No Hours: 10 Securities Trading Hours: 0 Start Date: 07/01/2024 Address: 107 N. Main St, HUNTERSVILLE NC 28078, United States Description: Organizing fundraising and volunteer efforts (2) ORGANIZED CHAOS DRAGON BOAT CLUB POSITION: President NATURE: Mission - By creating a multi-cultural, age-diverse team environment that strives for unity and excellence, we encourage all members to reach for and attain their personal best as individuals and athletes. We train to win and compete all the while embodying the best qualities of sportsmanship through courtesy and fair play. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/19/2026 ADDRESS: 11949 Pinnacle Point Lane, Charlotte NC 28216, United States DESCRIPTION: President shall: a) Be the official Spokesperson for the Organization; b) Chair all meetings of the ELT; c) Sign Contracts; d) Give direction and exercise oversight pertaining to all affairs of the Organization; e) serve as ex-officio, non-voting member of all committees of the Organization.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-04-21 |
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