DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••• A•••••••
NEW ORLEANS, LA | Birmingham, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| N•••••• A••••••• | Bd affiliated wealth | Dec 5, 2025 | n/a | yes | NEW ORLEANS, LA|Birmingham, AL | Current employment |
| S•••••••• I••••••••• G••••• L•• | Former SEC adviser | Jul 9, 2021 | Dec 4, 2025 | no | BIRMINGHAM, AL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• G••••• L•• | N•••••• A••••••• | Dec 4, 2025 | Dec 5, 2025 | 1 | Firm change | RIA to ibd |
| U•• F•••••••• S••••••• I••• | S•••••••• I••••••••• G••••• L•• | Jul 20, 2021 | Jul 9, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 314889:171351:AL:2025-12-04 | Dec 4, 2025 | Dec 5, 2025 | BIRMINGHAM, AL | Firm change |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 20, 2012 | Jul 20, 2021 | no | ATLANTA, GA|WEEHAWKEN, NJ|ATLANTA, GA | Previous registration |
| G•• A••••••• S•••••••• L•• | Asset manager | May 11, 2007 | Oct 10, 2012 | no | ATLANTA, GA | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Apr 5, 2006 | Nov 28, 2006 | no | MEMPHIS, TN|MEMPHIS, TN | Previous registration |
| -11 |
| Firm change |
| Wirehouse to new firm |
| G•• A••••••• S•••••••• L•• | U•• F•••••••• S••••••• I••• | Oct 10, 2012 | Nov 20, 2012 | 41 | Firm change | Other |
| M••••• K••••• • C••••••• L•• | G•• A••••••• S•••••••• L•• | Nov 28, 2006 | May 11, 2007 | 164 | Firm change | Other |