DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••• A•••••••
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 |
|---|---|---|---|---|---|---|
| W•••• A••••••• | Independent wealth | Mar 21, 2011 | n/a | yes | CHARLOTTE, NC | Current employment |
| S••••• F•••••••• G•••• I•• | Former SEC adviser | Sep 16, 2010 | Mar 24, 2011 | no | CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• F•••••••• G•••• I•• | W•••• A••••••• | Mar 24, 2011 | Mar 21, 2011 | -3 | Firm change | Other |
| E•••••• A••••••• L•• | S••••• F•••••••• G•••• I•• | Sep 17, 2010 | Sep 16, 2010 |
| E•••••• A••••••• L•• |
| n/a |
| Apr 12, 2007 |
| Sep 17, 2010 |
| no |
| BRENTWOOD, TN|SOUTHFIELD, MI |
| Previous registration |
| C•••••••• F•••••••• G•••• A••••••• | Former SEC adviser | Jan 28, 2004 | Oct 4, 2005 | no | BRENTWOOD, TN | Previous registration |
| Firm change |
| Other |
| C•••••••• F•••••••• G•••• A••••••• | E•••••• A••••••• L•• | Oct 4, 2005 | Apr 12, 2007 | 555 | Firm change after gap | Other |