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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-06-17 |
Branch Locations
128 S Tryon Street, Charlotte, NC 28202 • United States
196 Walnut Street, Waynesville, NC 28736 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Asheville | NC | 07/2013 | 10/2021 |
| Wells Fargo Advisors, Llc | Asheville | NC | 08/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Asheville | NC | 11/2016 | 10/2021 |
| Unemployed | Asheville | NC | 10/2021 | 02/2022 |
| Ally Invest Securities Llc | Charlotte | NC | 02/2022 | 06/2022 |
| Ally Invest Advisors | Charlotte | NC | 02/2022 | 06/2022 |
| First Citizens Investor Services | Raleigh | NC | 06/2022 | 11/2024 |
| First Citizens Investor Services | Raleigh | NC | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 2016-10-18 |
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