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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-10-08 |
Branch Locations
4350 Congress Street Suite 300, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Capital Management | Charlotte | NC | 01/2009 | 10/2020 |
| Allspring Funds Distributor, Llc | Charlotte | NC | 10/2019 | 07/2022 |
| Wells Fargo Funds Distributor, Llc | San Francisco | CA | 10/2018 | 10/2018 |
| Wells Fargo Funds Distributor, Llc | New York | NY | 07/2019 | 07/2019 |
| Massmutual Life Insurance Co | Charlotte | NC | 04/2025 | Present |
| Mml Investors Services, Llc | Charlotte | NC | 06/2025 | Present |
| Allspring Global Investments | Charlotte | NC | 11/2020 | 07/2022 |
| Student | Concord | NC | 07/2022 | 11/2022 |
| Unemployed | Charlotte | NC | 11/2022 | 04/2025 |
NAME: William Wallace, INV REL: Y, ADD: 1723 Tippah Ave., Charlotte, NC 28205, NATURE: Rental Income, POSITION: Owner, START DATE: 04/01/2019, NO. HR/MO: 1, NO. HR/MO DURING SEC TRADING: 0, DUTIES: Find tenants through web marketing, maintenance property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 2020-01-27 |
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