DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
CUMMING, GA
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | n/a | yes | CUMMING, GA | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jun 20, 2011 | Jan 19, 2024 | no | ALPHARETTA, GA|COLLEGE GROVE, TN|CUMMING, GA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| E•••••••• A•••••••• L•• | W••••••• F•••••••• S•••••••• I••• | Jun 17, 2011 | Jun 20, 2011 |
| E•••••••• A•••••••• L•• | National bd RIA | Nov 25, 2008 | Jun 17, 2011 | no | ALPHARETTA, GA|ALPHARETTA, GA|ATLANTA, GA | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 4, 2003 | Dec 3, 2008 | no | SAN ANTONIO, TX|CANTON, GA|COLUMBUS, GA | Previous registration |
| 3 |
| Firm change |
| Other |
| W••••••• F•••••••• S•••••••• I••• | E•••••••• A•••••••• L•• | Dec 3, 2008 | Nov 25, 2008 | -8 | Firm change | Other |