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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-02-27 |
Branch Locations
241 Medical Park Rd, Mooresville, NC 28117 • United States
201 N Main, Saluda, SC 29138 • 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 |
|---|---|---|---|---|
| First Citizens Investor Services | Raleigh | NC | 03/2024 | Present |
| First Citizens Bank | Saluda | SC | 04/2019 | Present |
| Unemployed | Saluda | SC | 03/2019 | 04/2019 |
| Suntrust Bank | Saluda | SC | 04/2018 | 03/2019 |
| Salua County School District One | Saluda | SC | 08/2016 | 03/2019 |
TRI OAKS FARMS POSITION: Assist with the goats (trimming hooves, vaccinations) and book work when he buys or sells a goat. NATURE: Personal/Family Business (DBA, Family Farm, LLC, LLP, Sole Proprietorship, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 530 W Eutaw St, Saluda SC 29138, United States DESCRIPTION: My husband has Tri Oaks Farms as a small side goat business. I sometimes help him with the goats (trimming hooves, vaccinations) and I also keep up with book work when he buys or sells a goat.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-23 |
| S63 | Uniform Securities Agent State Law Examination | 2024-05-22 |
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