DFX Intelligence
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Reading the graph
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Advisor at T••••••••• L••
RALEIGH, 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 |
|---|---|---|---|---|---|---|
| T••••••••• L•• | Independent wealth | May 16, 2024 | n/a | yes | RALEIGH, NC | Current employment |
| W•••• F•••• A••••••• | Wirehouse | Jan 1, 2008 | Jun 17, 2024 | no | RALEIGH, NC|RALEIGH, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | T••••••••• L•• | Jun 17, 2024 | May 16, 2024 | -32 | Firm change after gap | Wirehouse to RIA |
| A• G• E•••••• • S•••• I••• | W•••• F•••• A••••••• | Jan 1, 2008 | Jan 1, 2008 |
| A• G• E•••••• • S•••• I••• |
| n/a |
| Dec 2, 2005 |
| Jan 1, 2008 |
| no |
| ST. LOUIS, MO|RALEIGH, NC |
| Previous registration |
| M••••• S•••••• D• I••• | n/a | Dec 31, 2001 | Dec 5, 2005 | no | RALEIGH, NC | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | A• G• E•••••• • S•••• I••• | Dec 5, 2005 | Dec 2, 2005 | -3 | Firm change | Other |