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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-08 |
| AL | RA | APPROVED | 2025-11-06 |
| VT | RA | APPROVED | 2025-11-06 |
| NC | RA | APPROVED | 2023-12-01 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Huntersville, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Uncc | Charlotte | NC | 01/2015 | 05/2017 |
| Peter Senick - Axa Advisors | Charlotte | NC | 01/2017 | 04/2017 |
| Unemployed | Charlotte | NC | 05/2017 | 07/2017 |
| Axa Advisors, Llc | New York | NY | 05/2017 | 04/2020 |
| E*Trade Securities Llc | Charlotte | NC | 04/2020 | 07/2023 |
| E*Trade Capital Management Llc | Charlotte | NC | 04/2020 | 07/2023 |
| Harrisdirect Llc | Charlotte | NC | 04/2020 | 07/2023 |
| Tiaa | Charlotte | NC | 11/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 11/2023 | Present |
| Unemployed | Huntersville | NC | 07/2023 | 11/2023 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 2017-07-18 |
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