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Advisor at MAI CAPITAL MANAGEMENT, LLC
Charlotte, NC
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 |
|---|---|---|---|---|---|---|
| MAI CAPITAL MANAGEMENT, LLC | Independent wealth | Dec 21, 2021 | n/a | yes | Charlotte, NC | Current employment |
| QUEENS OAK ADVISORS | Former SEC adviser | Sep 5, 2019 | Dec 15, 2021 | no | CHARLOTTE, NC | Previous registration |
| STERLING CAPITAL MANAGEMENT LLC | Other adviser | Feb 14, 2012 | Jul 15, 2019 | no | CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| QUEENS OAK ADVISORS | MAI CAPITAL MANAGEMENT, LLC | Dec 15, 2021 | Dec 21, 2021 | 6 | Firm change | RIA to RIA |
| STERLING CAPITAL MANAGEMENT LLC | QUEENS OAK ADVISORS | Jul 15, 2019 | Sep 5, 2019 | 52 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 150605:109807:NC:2021-12-15 | Dec 15, 2021 | Dec 21, 2021 | CHARLOTTE, NC | Firm change |