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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 | 2023-08-07 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
11230 Elm Ln, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Llc | Westborough | MA | 06/2017 | 06/2023 |
| New York Life Insurance Company | Westborough | MA | 06/2017 | 06/2023 |
| University Of Connecticut | Storrs Mansfield | CT | 09/2012 | 06/2017 |
| Movement Financial Group Llc | Wilmington | NC | 03/2022 | 06/2023 |
| Forthright Capital Advisory Llc | Las Vegas | NV | 05/2023 | 07/2023 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 07/2023 | Present |
| Wells Fargo Bank, Na | Charlotte | NC | 07/2023 | Present |
HAPPY PLACE HOMES LLC; INV RELATED; WILMINGTON, NC; RENTAL PROPERTY; 100% OWNERSHIP WITH SPOUSE/MANAGER; START DATE 06/22/2023; 1 HOUR PER MONTH; 0 HOURS DURING TRADING
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-11-28 |
| S63 | Uniform Securities Agent State Law Examination | 2022-08-01 |
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