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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-29 |
Branch Locations
401 S Tryon St, Charlotte, NC 28202 • United States
One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Securities Llc | Charlotte | NC | 10/2016 | 06/2021 |
| Jpmorgan Chase Bank Na | Charlotte | NC | 10/2016 | 06/2021 |
| General Electric Company | Boston | MA | 11/1992 | 09/2016 |
| Wells Fargo Bank | Charlotte | NC | 06/2021 | Present |
| Wells Fargo Clearing Services | Charlotte | NC | 07/2021 | Present |
ZARU SYSTEMS INC.; NOT INV. RELATED; OAKLAND, CA; ADVISORY BOARD MEMBER; START DATE 3/29/2024; 16 HOURS PER YEAR; 0 HOURS DURING TRADING; DUTIES: ADVISING COMPANY OF SERVING MINORITY COMMUNITIES AND PROVIDING NON-BINDING ADVICE BASED ON EXPERIENCE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-11 |
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