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51 Madison Avenue 12Th Floor, New York, NY 10010 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2015-06-17 |
Branch Locations
7900 Matthews-Mint Hill Road Suite 115, Mint Hill, NC 28227 • 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 |
|---|---|---|---|---|
| New York Life Insurance Co. | Charlotte | NC | 12/2008 | Present |
| Nylife Securities Llc | Charlotte | NC | 04/2009 | Present |
| Eagle Strategies Llc | Charlotte | NC | 06/2015 | Present |
| Sws Financial Group, Inc. | Charlotte | NC | 05/2016 | Present |
[OPERATING UNDER THE DBA NAME OF SWS FINANCIAL GROUP, INC. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; CHARLOTTE, NC; START DATE: 05/2016] [INSURANCE BROKERING; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 7900 Matthews Mint Hill Rd. Suite 115, Mint Hill, NC 28227; Start Date 01/2015; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-13 |
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