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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-01-11 |
Branch Locations
8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Raleigh | NC | 06/2015 | 12/2020 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 04/2017 | 12/2020 |
| Commonwealth Financial Network | Waltham | MA | 12/2020 | 12/2021 |
| Trailridge Financial | Raleigh | NC | 12/2020 | 12/2021 |
| First Citizens Investor Services | Raleigh | NC | 01/2022 | Present |
| First Citizens Bank | Raleigh | NC | 12/2021 | Present |
SIGMA PHI EPSILON - NC KAPPA CHAPTER ALUMNI VOLUNTEER CORPORATION POSITION: Officer/Director NATURE: Board Position (including at a Non-profit) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2024 ADDRESS: 505 E 5th Street, Greenville NC 27858, United States DESCRIPTION: The Alumni Volunteer Corporation of NC Kappa Chapter of Sigma Phi Epsilon is a group of alumni volunteers that supports the undergraduate chapter at East Carolina University. The AVC Board provides guidance and mentoring to the students who are part of the undergraduate chapter. It also facilitates alumni relations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 2017-06-16 |
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