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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 | 2025-01-31 |
Branch Locations
3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States
13160 Strickland Rd, Raleigh, NC 27613 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charter Spectrum | Cary | NC | 04/2017 | 01/2018 |
| Att Mobility | Raleigh | NC | 10/2009 | 04/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2018 | 05/2018 |
| Northwestern Mutual Investment Services Llc | Durham | NC | 01/2018 | 05/2018 |
| Bank Of America | Cary | NC | 07/2018 | 05/2020 |
| Principal Life Insurance Company | Raleigh | NC | 05/2020 | 12/2020 |
| Principal Securities Inc | Raleigh | NC | 05/2020 | 12/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Cary | NC | 11/2021 | 01/2022 |
| Policygenius | Durham | NC | 12/2020 | 08/2021 |
| Fidelity Investments | Durham | NC | 08/2021 | 11/2021 |
| Bank Of America, N.A. | Cary | NC | 01/2022 | 01/2025 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 01/2025 | Present |
I*1951271 Entity Type, Name of OBA: Rental Property 1 Address: GreenvilleNorth Carolina27834 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 08/17/2024 No Hours: 4 Monthly No Hours during trading: 0 Duties: RENTAL PROPERTY; INV RELATED; GREENVILLE, NC; 100% OWNER; 08/2024; 2 HOURS PER MONTH; 2 HOURS DURING TRADING; LONG TERM RENATL
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2018-03-27 |
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