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5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-09-06 |
Branch Locations
5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services, Inc. | Chicago | IL | 03/1996 | 03/2021 |
| Equitable Advisors, Llc | New York | NY | 02/2021 | 09/2022 |
| Innovation Partners Llc | Charlotte | NC | 09/2022 | Present |
| Ip Financial Advisory Services Llc | Charlotte | NC | 09/2022 | Present |
1) Illinois Manufacturing Foundation, not-for-profit adult education, president, conduct meeting 1 hr per mo, start date 07.2016. Family Service Center of Wilmette, Glenview, Northbrook, Kenilworth, board member, attend monthly board meeting, overseas program and budget program in mental health counseling services for individual and family, board of director, start 01.1996, 2 hrs per mo.___ 2) Holy Family Ministries , Board supervises for non-profit faith based school regarding all programs, services and budget, board member, start 01.1995, 1hr per mo. Outside insurance brokerage.___ 3) North Commonwealth Condo Assoc Board of Directors. President. Start 7/22 2hr mo.___ 4) James Neaylon III. Start: 07/01/1985. Life insurance.Chicago, IL. 15hrs per week.___
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-20 |
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