DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
CHATTANOOGA, TN
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 | Oct 11, 2024 | n/a | yes | CHATTANOOGA, TN | Current employment |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jan 13, 2016 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 | 0 | Bulk transfer | Ibd to ibd |
| C•• W••••• M••••••••• L•• | A••••••• P••••••••• A•••••••• I•• | Jan 6, 2017 | Jan 13, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 118181:112697:TN:2016-12-31 | Jan 6, 2017 | Jan 13, 2016 | CHATTANOOGA, TN | Firm change after gap |
| C•• W••••• M••••••••• L•• | Former SEC adviser | Jan 28, 2004 | Jan 6, 2017 | no | CHATTANOOGA, TN | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Oct 1, 1992 | Jun 17, 2008 | no | CHATTANOOGA, TN | Previous registration |
| -359 |
| Firm change after gap |
| Other |
| F•• S••••••••• C••••••••• | C•• W••••• M••••••••• L•• | Jun 17, 2008 | Jan 28, 2004 | -1,602 | Firm change after gap | Other |