DFX Intelligence
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Reading the graph
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Advisor at P••••••• C••••••• L••
FRANKLIN, TN | Fernandina Beach, 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 |
|---|---|---|---|---|---|---|
| P••••••• C••••••• L•• | State registered | Apr 30, 2025 | n/a | yes | FRANKLIN, TN|Fernandina Beach, FL | Current employment |
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | May 6, 2025 | no | FERNANDINA BEACH, FL|JACKSONVILLE, FL|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | P••••••• C••••••• L•• | May 6, 2025 | Apr 30, 2025 | -6 | Firm change | Ibd to state RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|JACKSONVILLE, FL|FERNANDINA BEACH, FL | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Oct 29, 2015 | Jul 13, 2018 | no | JACKSONVILLE, FL|JACKSONVILLE, FL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |