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Advisor at WESTEND ADVISORS, LLC
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 |
|---|---|---|---|---|---|---|
| WESTEND ADVISORS, LLC | Independent wealth | Jul 14, 2026 | n/a | yes | CHARLOTTE, NC | Current employment |
| PRINCIPAL ASSET MANAGEMENT | Other adviser | Feb 9, 2026 | Jun 23, 2026 | no | Charlotte, NC | Previous registration |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Feb 9, 2026 | Jun 23, 2026 | no | Charlotte, NC|Charlotte, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRINCIPAL ASSET MANAGEMENT | WESTEND ADVISORS, LLC | Jun 23, 2026 | Jul 14, 2026 | 21 | Firm change | Other |
| PRINCIPAL SECURITIES, INC. | PRINCIPAL ASSET MANAGEMENT | Jun 23, 2026 | Feb 9, 2026 | -134 | Firm change after gap | Other |