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Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-04-12 |
Branch Locations
Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vance Flouhouse & Garges, Pllc | Charlotte | NC | 11/2016 | 06/2017 |
| Zv Smith & Co. | Charlotte | NC | 06/2017 | Present |
| Bgw Cpa, Pllc | Charlotte | NC | 12/2020 | 01/2024 |
| Kestra Private Wealth Services, Llc | Huntersville | NC | 05/2023 | 02/2024 |
| Kestra Investment Services, Llc | Huntersville | NC | 11/2023 | 02/2024 |
| Triad Advisors | Atlanta | GA | 04/2024 | 08/2024 |
| Destination Wealth Advisors | Huntersville | NC | 01/2024 | 03/2024 |
| Tricapital Wealth Management, Inc. | Charlotte | NC | 03/2024 | Present |
| Osaic Wealth, Inc. | Scottsdale | AZ | 08/2024 | Present |
1)TriCapital Wealth Management;investment related;6115 Park South Drive,Ste 330,Charlotte,NC 28210;s-corp;registered admin;3/19/2024;160 hrs/month;130 hrs during trading;re-balancing clients portfolio models,executing trades,market research,as well as providing all other relevant financial & administrative support 2)Willcar,LLC;not investment related;4814 Rockview Court,Charlotte,NC 28226;partnership;accountant;7/2017;5 hrs/month;0 hrs during trading;bookkeeping for investment accounts 3)Z.V Smith & Co;not investment related;6115 Park South Drive,Suite 330,Charlotte,NC 28210;s-corp;accountant;7/2017;20 hrs/month;5 hrs during trading;bookkeeping,tax return prep
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-05-03 |
| S65 | Uniform Investment Adviser Law Examination | 2023-01-09 |
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