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303 E. Wacker Drive Ste 500, Chicago, IL 60601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-05 |
Branch Locations
303 E. Wacker Drive Ste 500, Chicago, IL 60601 • United States
10706 Sikes Pl Ste 300, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Taj Books International Llc | Newport Beach | CA | 09/2001 | 10/2016 |
| Prudential Advisors | Charlotte | NC | 06/2017 | 01/2019 |
| New York Life Insurance Company | Charlotte | NC | 12/2018 | 08/2019 |
| Nylife Securities Llc | Charlotte | NC | 02/2019 | 08/2019 |
| Fifth Third Bank | Charlotte | NC | 11/2020 | 12/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 12/2021 | 07/2023 |
| Bank Of America, N.A. | Charlotte | NC | 02/2022 | 07/2023 |
| Selectquote | Tega Cay | SC | 03/2020 | 08/2020 |
| Assurance Iq | Tega Cay | SC | 08/2020 | 10/2020 |
| Unemployed | Tega Cay | SC | 09/2019 | 02/2020 |
| Principal Life Insurance Company | Charlotte | NC | 09/2023 | 01/2024 |
| Principal Securities Inc | Charlotte | NC | 09/2023 | 01/2024 |
| Bankers Life Securities, Inc | Charlotte | NC | 02/2024 | Present |
| Bankers Life Advisory Services, Inc | Charlotte | NC | 02/2024 | Present |
| Bankers Life & Casualty, Inc | Charlotte | NC | 02/2024 | Present |
| Fifth Third Securities | Charlotte | NC | 07/2021 | 12/2021 |
| Pruco Securities, Llc | Charlotte | NC | 09/2017 | 01/2019 |
| Aflac | Columbus | GA | 08/2016 | 05/2018 |
BLC POSITION: Insurance Agent NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2024 ADDRESS: 10706 Sikes PL, Charlotte NC 28227, United States DESCRIPTION: 1099 Agent, Appointed with KFA, Medicare Supplement, Annuity and Equity Index and Insurance products, Life and Health Insurance CHALLIS FARMS TOWNHOMES ASSOCIATIONS POSITION: Board Member NATURE: Home Owners Association INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 4530 Park Road, Suite 201, Charlotte NC 28226, United States DESCRIPTION: To serve on our HOA board specifically with regards to the Irrigation system.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2017-11-01 |
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