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777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2019-01-08 |
| VA | RA | APPROVED | 2019-01-02 |
Branch Locations
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Distribution Consulting Group | Richmond | VA | 07/2001 | 12/2018 |
| Capitol Securities Management | Glen Allen | VA | 10/2015 | 12/2018 |
| Icma-Rc | Washington | DC | 12/2018 | Present |
The United Methodist Credit Union 10330 Staples Mill Road Glen Allen, VA 23060. Non-investment related. Supervisory Committee Volunteer. Start date 12/21/2018. Devote three hours per month; zero during trading hours. Oversight of agreed upon procedures review (internal audit) for report to their Board of Directors and Virginia State Corporation Commission. Direct staff in verifying regulatory/ business requirements are being performed according to the regulator's work plan requirements.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-26 |
| S65 | Uniform Investment Adviser Law Examination | 2013-03-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-12 |
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