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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-23 |
| NC | RA | APPROVED | 2016-10-28 |
Branch Locations
1213 Culbreth Drive Suite 124, Wilmington, NC 28405 • United States
1108 Environ Way, Chapel Hill, NC 27517-4418 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Citizens Bank | Raleigh | NC | 06/2013 | 10/2016 |
| First Citizens Investor Services | Raleigh | NC | 06/2013 | 10/2016 |
| Charles Schwab & Co., Inc. | Wilmington | NC | 10/2016 | Present |
| Charles Schwab Bank | Wilmington | NC | 10/2016 | Present |
1) RENTAL PROPERTY, START DATE 07/01/2017, WILMINGTON. NC; OWNER RENTAL PROPERTY, LESS THAN 20 HOURS A MONTH, NOT INVESTMENT RELATED. MANAGEMENT COMPANY IS RESPONSIBLE. 2) Start Date = 10-14-09| NHC Industrial Pollution Control Authority| Member of Board| Wilmington, NC| Hours/Month = Less than 20| Authority reviews possible environmental impact from industrial activities as a result of private entities issuing debt. Authority advises county on there findings. 3) Start Date = 02-17-11| St Mark Catholic School| advisory council member| Wilmington, NC| Hours/Month = Less than 20| Member of Advisory Council. Provide advise on educational issues. 4) Start Date = 10-29-14| North Carolina Wesleyan College| Advisory council member| Rocky Mount, NC| Hours/Month = Less than 20| Board of Visitors Member. Advise College on educational issues.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2012-05-17 |
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