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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-05-04 |
| TX | RA | APPROVED_RES | 2026-05-04 |
Branch Locations
1320 Main Street Suite 800, Columbia, SC 29201 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Columbia | SC | 06/2002 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Columbia | SC | 11/2016 | 02/2017 |
| Raymond James & Associates, Inc | Columbia | SC | 02/2017 | 05/2026 |
| Morgan Stanley Smith Barney Llc | Columbia | SC | 05/2026 | Present |
(1) MUSC Hollings Cancer Center / Not Investment Related / Charleston , SC / Board Member, Board Subcommittee Member, Officer, or Director / Advisory Board / 01-August-2014 / 2-10 hours devoted per month / 0-1 during trading / Member and current Chair of Hollings Cancer Center Advisory Board. (2) Tiger Dawg Investments, LLC / Not Investment Related / Columbia, SC / Business Owner / Start 17-December-2019 / 0-1 hour devoted per month / 0-1 during trading / I will be the agent in charge of collecting and disbursing for the LLC and for the benefit of the two other partners - we each have 33.33%. I will also maintain written records of any activity that takes place.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-26 |
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