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Advisor at FOUNDERS FINANCIAL ALLIANCE, LLC
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 |
|---|---|---|---|---|---|---|
| FOUNDERS FINANCIAL ALLIANCE, LLC | Independent wealth | Feb 19, 2021 | n/a | yes | Raleigh, NC | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 11, 2011 | Feb 19, 2021 | no | RALEIGH, NC|WILSON, NC|RALEIGH, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | FOUNDERS FINANCIAL ALLIANCE, LLC | Feb 19, 2021 | Feb 19, 2021 | 0 | Firm change | Wirehouse to RIA |