DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Feb 5, 2024 | n/a | yes | Birmingham, AL | Current employment |
| C•••••• I••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Sep 11, 2020 | Feb 5, 2024 | no | HUNTSVILLE, AL|RALEIGH, NC|HICKORY, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• I••••••••• A••••••• S•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Feb 5, 2024 | Feb 5, 2024 | 0 | Firm change | Ibd to ibd |
| W•••• F•••• A••••••• | C•••••• I••••••••• A••••••• S•••••••• L•• | Sep 10, 2020 | Sep 11, 2020 |
| W•••• F•••• A••••••• | Wirehouse | Sep 29, 2017 | Sep 10, 2020 | no | MONTGOMERY, AL|HUNTSVILLE, AL | Previous registration |
| C••••• A••••••• L•• | Former SEC adviser | Apr 2, 2015 | Oct 3, 2017 | no | GREENWOOD VILLAGE, CO|AUBURN, AL | Previous registration |
| C•••••• I••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Feb 6, 2013 | Apr 2, 2015 | no | RALEIGH, NC | Previous registration |
| C•• A•••••••• L•• | n/a | Aug 23, 2011 | Dec 31, 2012 | no | RALEIGH, NC | Previous registration |
| W••• T••••• • C••••••• L•• | Former SEC adviser | Mar 2, 2006 | Mar 25, 2011 | no | MONTGOMERY, AL|MONTGOMERY, AL|MONTGOMERY, AL | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Feb 14, 2003 | Mar 17, 2006 | no | MONTGOMERY, AL | Previous registration |
| M••••• S•••••• D• I••• | n/a | Apr 25, 2001 | Feb 19, 2003 | no | MONTGOMERY, AL | Previous registration |
| 1 |
| Firm change |
| Wirehouse to ibd |
| C••••• A••••••• L•• | W•••• F•••• A••••••• | Oct 3, 2017 | Sep 29, 2017 | -4 | Firm change | Other |
| C•••••• I••••••••• A••••••• S•••••••• L•• | C••••• A••••••• L•• | Apr 2, 2015 | Apr 2, 2015 | 0 | Firm change | Other |
| C•• A•••••••• L•• | C•••••• I••••••••• A••••••• S•••••••• L•• | Dec 31, 2012 | Feb 6, 2013 | 37 | Bulk transfer | Other |
| W••• T••••• • C••••••• L•• | C•• A•••••••• L•• | Mar 25, 2011 | Aug 23, 2011 | 151 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | W••• T••••• • C••••••• L•• | Mar 17, 2006 | Mar 2, 2006 | -15 | Firm change | Wirehouse to new firm |
| M••••• S•••••• D• I••• | U•• F•••••••• S••••••• I••• | Feb 19, 2003 | Feb 14, 2003 | -5 | Firm change | Other |