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9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-11-19 |
Branch Locations
9300 Harris Corners Parkway Suite 105, Charlotte, NC 28269 • United States
Sarasota, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Franklin/Templeton Distributors, Inc. | St. Petersburg | FL | 05/1995 | 04/2019 |
| Alight Solutions | Charlotte | NC | 11/2019 | Present |
| Unemployed | Sarasota | FL | 05/2019 | 11/2019 |
Name of Organization/Company Jon Sams Is the business investment related? No Nature of the Business Photographer Address of the Business 11136 Chandler Blvd North Hollywood, CA 91601 Position/Title Consultant The start date of your relationship 10/01/15 Description of Duties Bookkeeper, consultant for my son's photography business. Anticipated annual compensation from this activity 0 Do you have a financial interest in the organization/company? No Approximate # of hours/week you devote to this outside activity during non-business hours 1 - 5 Approximate # of hours/week you devote to this outside activity during business hours 0 Name of Organization/Company Sole Proprietorship (not branded) Is the business investment related? Yes No Nature of the Business Buy/resell items, primarily clothing, on eBay Address of the Business 3780 Torrey Pines Way, Sarasota, FL 34238 Position/Title Proprietor The start date of your relationship 10/15/22 Description of Duties Buy and resell items on eBay. Anticipated annual compensation from this activity 5,000 Do you have a financial interest in the organization/company? If yes, please explain. Yes, full owner Approximate # of hours/week you devote to this outside activity during non-business hours 6 - 10 Approximate # of hours/week you devote to this outside activity during business hours 0 To your knowledge, is this organization/company a client of the Firm? Yes No If "Yes", detailed descriptions of the relationship between the two entities To your knowledge, will your affiliation with this activity raise or be perceived as a potential conflict of interest? Yes No If "Yes", please explain The Firm expects employees to devote their business day to the work of the Firm, and employees are expected to avoid any outside activity, employment, position, or association that might interfere or appear to interfere with the independent exercise of the employee's judgment regarding the best interests of the Firm and its clients.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-07-20 |
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