DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
PINEHURST, NC | Westlake, TX
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•••••• S••••• • C••• I••• | National bd RIA | Jan 31, 2022 | n/a | yes | PINEHURST, NC|Westlake, TX | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Dec 12, 2017 | May 6, 2022 | no | Altamonte Springs, FL|MELBOURNE, FL|VERO BEACH, FL|GLEN ALLEN, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | May 6, 2022 | Jan 31, 2022 | -95 | Channel change | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | May 6, 2022 | Dec 12, 2017 |
| T• A••••••••• I••• | Former SEC adviser | Nov 30, 2017 | May 6, 2022 | no | Winter Park, FL|MELBOURNE, FL|VERO BEACH, FL|GLEN ALLEN, VA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Mar 29, 2017 | Dec 12, 2017 | no | Melbourne, FL | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 16, 2015 | Jul 26, 2016 | no | PORT ST. JOHN, FL|ROCKLEDGE, FL|ROCKLEDGE, FL|TITUSVILLE, FL | Previous registration |
| F•••••••• E•••••• A•••••• C•••••• L•• | Former SEC adviser | Sep 2, 2015 | Jan 14, 2016 | no | ATLANTA, GA|OVERLAND PARK, KS | Previous registration |
| T•• M••••• F••• R••••••• C•••••• R••••••• C••••• | Former SEC adviser | Dec 15, 2014 | Jan 4, 2016 | no | ATLANTA, GA|OVERLAND PARK, KS | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 30, 2006 | Dec 22, 2014 | no | MANCHESTER, NH|ATLANTA, GA|MANCHESTER, NH | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Aug 30, 2006 | Dec 22, 2014 | no | Bedford, NH|OMAHA, NE|Atlanta, GA|Bedford, NH | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 2, 2003 | Sep 28, 2006 | no | BEDFORD, NH|BEDFORD, NH | Previous registration |
| -1,606 |
| Channel change |
| Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••• | Dec 12, 2017 | Nov 30, 2017 | -12 | Channel change | Other |
| L•• F•••••••• L•• | S•••••••• I••••••••• M••••••••• | Jul 26, 2016 | Mar 29, 2017 | 246 | Firm change | Other |
| F•••••••• E•••••• A•••••• C•••••• L•• | L•• F•••••••• L•• | Jan 14, 2016 | Dec 16, 2015 | -29 | Firm change | Other |
| T•• M••••• F••• R••••••• C•••••• R••••••• C••••• | F•••••••• E•••••• A•••••• C•••••• L•• | Jan 4, 2016 | Sep 2, 2015 | -124 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 22, 2014 | Aug 30, 2006 | -3,036 | Channel change | Other |
| T• A••••••••• I••• | T•• M••••• F••• R••••••• C•••••• R••••••• C••••• | Dec 22, 2014 | Dec 15, 2014 | -7 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Sep 28, 2006 | Aug 30, 2006 | -29 | Firm change | Other |