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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 | 2026-02-12 |
Branch Locations
1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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 |
|---|---|---|---|---|
| Xerox/Conduent | Charlotte | NC | 11/2016 | 05/2017 |
| The Vanguard Group, Inc. | Charlotte | NC | 07/2017 | 09/2018 |
| Unemployed | Charlotte | NC | 05/2016 | 11/2016 |
| Wells Fargo Clearing Services | Charlotte | NC | 07/2019 | 04/2021 |
| Unemployed | Monroe | NC | 10/2018 | 06/2019 |
| Principal Life Insurance | Charlotte | NC | 04/2021 | 05/2022 |
| Principal Securities Inc | Charlotte | NC | 04/2021 | 05/2022 |
| Wells Fargo Clearing Services | Charlotte | NC | 08/2022 | Present |
| Disys | Charlotte | NC | 08/2022 | Present |
| Unemployeed | Monroe | NC | 06/2022 | 07/2022 |
DOOR DASH; NOT INV. RELATED; SAN FRANCISCO, CA; DELIVERY DRIVER; START DATE 6/8/2024; 10-15 HOURS PER WEEK; 0 HOURS DURING TRADING; DUTIES: DELIVERY DRIVER. BENTON HEIGHTS PRESBYTERIAN CHURCH ; NOT INV RELATED; MONROE,NC; LOCAL CHURCH; START DATE: 02/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING; PARKWOOD ATHLETIC RECREATION ASSOCIATION; INV RELATED;MONROE,NC; PARA PROVIDES ALL SPORT RELATED ACCESSORIES;TREASURER% OWNERSHIP; START DATE: 07/06/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2017-08-23 |
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