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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-18 |
| NC | RA | APPROVED | 2022-05-10 |
Branch Locations
3125 Springbank Ln Ste H, Charlotte, NC 28226 • United States
Matthews, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 09/2006 | 04/2022 |
| Ameriprise Financial Services, Llc | Charlotte | NC | 05/2022 | Present |
Outside Employment; Dilworth Management Group LLC; Client Relationship Manager - Provide service and support to Global Rock WM clients operating as a franchise under Ameriprise.; ; 4500 Cameron Valley Pkwy Ste 250, , Charlotte, NC, 28211; Investment-Related; 05/02/2022; 40 to 59 hours per month; 40 to 59 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-31 |
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