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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 | 2023-10-11 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, 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 |
|---|---|---|---|---|
| Mutual Of Omaha Advisors | Charlotte | NC | 03/2021 | 05/2022 |
| Ubs | Charlotte | NC | 11/2018 | 02/2021 |
| Vanguard | Charlotte | NC | 06/2017 | 10/2018 |
| Student | Charlotte | NC | 01/2010 | 05/2017 |
| Sara Samuels | Chicago | IL | 05/2022 | 08/2022 |
| Northwestern Mutual Investment Services Llc | Chicago | IL | 08/2022 | 12/2022 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 02/2023 | 04/2023 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 09/2023 | Present |
| Wells Fargo Bank, N. A. | Charlotte | NC | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-18 |
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