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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-23 |
| NC | RA | APPROVED | 2019-08-22 |
Branch Locations
6000 Fairview Road Suite 500, Charlotte, NC 28210-3254 • United States
Charlotte, NC • 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 | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 08/2019 |
| Rbc Capital Markets, Llc. | Charlotte | NC | 08/2019 | Present |
(1) THE GEORGIAN HOA, NOT INV RELATED, CHARLOTTE, NC. SECRETARY/TREASURER, START: 9/19/2016, 1 HOUR/MONTH, 0 DURING TRADING, TAKE MEETING MINUTES AND OVERSEEING INVOICE PAYMENT WITH THE PROPERTY MANAGER. (2) NAME OF ENTITY: The Georgian Unit Owners Association ADDRESS: 1610 Queens Rd, Charlotte, NC 28207 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2017 CAPACITY: Board of Directors DUTIES: Secretary/Treasurer for an 8-unit condo HOA. Responsibilities include note-taking at meetings, sending emails to residents, and overseeing property management. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-20 |
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