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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 | 2024-04-08 |
| TX | RA | APPROVED | 2024-04-08 |
Branch Locations
2120 N Queen St, Kinston, NC 28501 • United States
240 A Craven St, New Bern, NC 28560 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Company | New Bern | NC | 08/2017 | 08/2018 |
| Mml Investors Services, Llc | New Bern | NC | 11/2017 | 08/2018 |
| Sia Group | Jacksonville | NC | 08/2012 | 06/2017 |
| Wells Fargo Clearings Services, Llc | New Bern | NC | 10/2018 | 04/2024 |
| Western & Southern Life Insurance | Kinston | NC | 08/2018 | 09/2018 |
| Wells Fargo Advisors Financial Network, Llc | Greenville | NC | 04/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-05-10 |
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