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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-08-24 |
| NC | RA | APPROVED | 2026-08-05 |
Branch Locations
11333 Mccormick Rd Ci Client Services, Hunt Valley, MD 21031 • United States
401 N Tryon St Ci Client Services, Charlotte, NC 28255 • 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 |
|---|---|---|---|---|
| Wells Fargo Bank Na | Chandler | AZ | 04/2014 | 05/2026 |
| Wells Fargo Clearing Services Llc | Albuquerque | NM | 03/2018 | 05/2021 |
| Express | Albuquerque | NM | 10/2015 | 10/2018 |
| Xerox, Inc | Albuquerque | NM | 06/2016 | 08/2018 |
| Wells Fargo Clearing Services, Llc | Chandler | AZ | 11/2023 | 05/2026 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 06/2026 | Present |
| University Of Arizona | Tucson | AZ | 08/2023 | 08/2025 |
| Bank Of America, N.A. | Charlotte | NC | 08/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 2024-01-18 |
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