DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• A••••••• I•••
Birmingham, AL | BIRMINGHAM, AL
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 |
|---|---|---|---|---|---|---|
| S••••• A••••••• I••• | Bd affiliated wealth | Oct 6, 2017 | n/a | yes | Birmingham, AL|BIRMINGHAM, AL | Current employment |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Sep 16, 2015 | Oct 10, 2017 | no | BIRMINGHAM, AL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A••••••• S•••••••• I••• | S••••• A••••••• I••• | Oct 10, 2017 | Oct 6, 2017 | -4 | Firm change | Other |
| V••• F•••••••• A•••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Apr 10, 2014 | Sep 16, 2015 |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Jul 2, 2013 | Apr 10, 2014 | no | BIRMINGHAM, AL|BIRMINGHAM, AL|WINDSOR, CT | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jul 2, 2013 | Apr 10, 2014 | no | BIRMINGHAM, AL|WINDSOR, CT | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 26, 2011 | Apr 17, 2013 | no | BIRMINGHAM, AL|BIRMINGHAM, AL|ORLANDO, FL | Previous registration |
| P••••••••• S••••••••• C••••••••• | Independent wealth | Feb 2, 2011 | Aug 8, 2011 | no | DUNWOODY, GA|CARPINTERIA, CA|ALPHARETTA, GA | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 10, 2009 | Feb 1, 2011 | no | Bellevue, WA|GLENDALE, AZ | Previous registration |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Apr 30, 2000 | Jun 5, 2007 | no | ATLANTA, GA | Previous registration |
| 524 |
| Firm change after gap |
| Other |
| V••• F•••••••• P•••••••• L•• | F•••• A••••• A••••••• S•••••••• I••• | Apr 10, 2014 | Sep 16, 2015 | 524 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | V••• F•••••••• A•••••••• I••• | Apr 17, 2013 | Jul 2, 2013 | 76 | Firm change | Other |
| P••••••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Aug 8, 2011 | Aug 26, 2011 | 18 | Firm change | Other |
| S••••••• F•••••••• S•••••••• I••• | P••••••••• S••••••••• C••••••••• | Feb 1, 2011 | Feb 2, 2011 | 1 | Firm change | Other |
| V•••• F•••••••• A•••••••• I••• | S••••••• F•••••••• S•••••••• I••• | Jun 5, 2007 | Feb 10, 2009 | 616 | Firm change after gap | Other |