DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
CARY, NC | PLYMOUTH, MN
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••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jul 1, 2026 | n/a | yes | CARY, NC|PLYMOUTH, MN | Current employment |
| W••••••••• L•• | Former SEC adviser | Mar 19, 2018 | Mar 31, 2023 | no | CARY, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••••• P•••••••• L•• | W••••••••• L•• | Jul 1, 2026 | Mar 19, 2018 | -3,026 | Firm change after gap | Other |
| W••••••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Mar 31, 2023 | Jul 1, 2026 |
| W••••••••• P•••••••• L•• | Independent wealth | Jan 22, 2014 | Jul 1, 2026 | no | CARY, NC | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jun 30, 2006 | Dec 23, 2013 | no | RALEIGH, NC | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 15, 2002 | Jul 5, 2006 | no | CARY, NC|RALEIGH, NC | Previous registration |
| 1,188 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | W••••••••• P•••••••• L•• | Dec 23, 2013 | Jan 22, 2014 | 30 | Firm change | Wirehouse to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | Jul 5, 2006 | Jun 30, 2006 | -5 | Firm change | Wirehouse to wirehouse |