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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-23 |
| NC | RA | APPROVED | 2025-11-19 |
Branch Locations
4350 Congress Street Floor 01, Charlotte, NC 28209 • United States
4000 Center At Northhills St., Raleigh, NC 27609 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Honig'S Mid-Atlantic | Raleigh | NC | 01/2005 | 09/2016 |
| Atlantic Coast Conference | Charlotte | NC | 01/2015 | Present |
| Gordon Asset Management, Llc | Durham | NC | 09/2016 | 01/2019 |
| Aptus Capital Advisors, Llc | Fairhope | AL | 01/2019 | 07/2020 |
| North State Bank | Raleigh | NC | 07/2019 | 12/2023 |
| Guardian Wealth Advisors, Llc | Raleigh | NC | 06/2020 | 06/2025 |
| Jpmorgan Chase Bank, N.A. | Raleigh | NC | 10/2025 | Present |
| J.P. Morgan Securities Llc | Raleigh | NC | 10/2025 | Present |
| National Football League | New York | NY | 01/2020 | Present |
Entity Name: Atlantic Coast Conference Investment related: No Address: 620 S. Tryon St. Charlotte, NC 28202 Nature of the other business: Sports Position/Title/Relationship: Employee/Contractor Start Date: 08/01/2015 Approximate # of hours a week: 10-20 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Football official, officiating ACC Football games. Devote 16-20 hours a month, all on weekends, from August to December to the other business. Zero hours devoted to other business during securities trading hours. " Entity Name: The National Football League Investment related: No Address: 345 Park Ave B Level, New York, NY 10154 Nature of the other business: Sports Position/Title/Relationship: Employee/Contractor Start Date: 01/01/2020 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: The NFL is a professional football league I'm a member of the official training program since 2020 Devote 2-3 Days in August to officiate Training Camp. Possible additional dates and times to be determined. "
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-11-13 |
| S65 | Uniform Investment Adviser Law Examination | 2016-11-29 |
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