DFX Intelligence
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Reading the graph
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Advisor at L•••••• S••••• C••••••• L••
ATHENS, 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 |
|---|---|---|---|---|---|---|
| L•••••• S••••• C••••••• L•• | State registered | Feb 25, 2015 | n/a | yes | ATHENS, GA | Current employment |
| L•••••• S••••• C••••••• L•• | State registered | Jan 9, 2012 | Dec 31, 2014 | no | ATHENS, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | L•••••• S••••• C••••••• L•• | Dec 12, 2011 | Jan 9, 2012 | 28 | Firm change | Wirehouse to state RIA |
| D•••••• L••• S••••• L•• | M••••• S•••••• | Jan 21, 2010 | Jan 26, 2010 |
| M••••• S•••••• | Wirehouse | Jan 26, 2010 | Dec 12, 2011 | no | Athens, GA | Previous registration |
| D•••••• L••• S••••• L•• | Former SEC adviser | Sep 9, 2009 | Jan 21, 2010 | no | ATHENS, GA|ROME, GA | Previous registration |
| L•••••• S••••• C••••••• L•• | State registered | May 24, 2006 | Dec 31, 2009 | no | ATHENS, GA | Previous registration |
| 5 |
| Firm change |
| Other |
| L•••••• S••••• C••••••• L•• | D•••••• L••• S••••• L•• | Dec 31, 2009 | Sep 9, 2009 | -113 | Firm change after gap | Other |