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Advisor at NFSG CORPORATION
HOOVER, AL | BOCA RATON, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NFSG CORPORATION | Bd affiliated wealth | Jan 27, 2020 | n/a | yes | HOOVER, AL|BOCA RATON, FL | Current employment |
| KESTRA ADVISORY SERVICES, LLC | Bd affiliated wealth | May 25, 2016 | Apr 12, 2019 | no | HOOVER, AL | Previous registration |
| NFP ADVISOR SERVICES, LLC | Former SEC adviser | Dec 3, 2015 | May 25, 2016 | no | Hoover, AL|AUSTIN, TX|HOOVER, AL | Previous registration |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | May 1, 2014 | Oct 23, 2015 | no | HOOVER, AL | Previous registration |
| STERNE AGEE ASSET MANAGEMENT, INC. | Former SEC adviser | Feb 26, 2009 | May 7, 2014 | no | BIRMINGHAM, AL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 15, 2008 | Mar 4, 2009 | no | BIRMINGHAM, AL | Previous registration |
| COLONIAL ASSET MANAGEMENT INC | n/a | Jul 19, 2005 | Aug 18, 2008 | no | BIRMINGHAM, AL|MONTGOMERY, AL | Previous registration |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | n/a | May 22, 2002 | Jun 6, 2005 | no | AUBURN, AL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| KESTRA ADVISORY SERVICES, LLC | NFSG CORPORATION | Apr 12, 2019 | Jan 27, 2020 | 290 | Firm change | Ibd to ibd |
| NFP ADVISOR SERVICES, LLC | KESTRA ADVISORY SERVICES, LLC | May 25, 2016 | May 25, 2016 | 0 | Firm change | Other |
| SECURITIES AMERICA ADVISORS, INC. | NFP ADVISOR SERVICES, LLC | Oct 23, 2015 | Dec 3, 2015 | 41 | Firm change | Other |
| STERNE AGEE ASSET MANAGEMENT, INC. | SECURITIES AMERICA ADVISORS, INC. | May 7, 2014 | May 1, 2014 | -6 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STERNE AGEE ASSET MANAGEMENT, INC. | Mar 4, 2009 | Feb 26, 2009 | -6 | Firm change | Other |
| COLONIAL ASSET MANAGEMENT INC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 18, 2008 | Aug 15, 2008 | -3 | Firm change | Other |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | COLONIAL ASSET MANAGEMENT INC | Jun 6, 2005 | Jul 19, 2005 | 43 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 42046:283330:AL:2016-05-25 | May 25, 2016 | May 25, 2016 | HOOVER, AL | Firm change |