DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at FOUNDERS FINANCIAL SECURITIES, LLC
Matthews, 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 |
|---|---|---|---|---|---|---|
| FOUNDERS FINANCIAL SECURITIES, LLC | Independent wealth | Nov 5, 2015 | n/a | yes | Matthews, NC | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 1, 2007 | Nov 4, 2015 | no | FORT MILL, SC|MATTHEWS, NC | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Dec 14, 2004 | Aug 23, 2007 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | FOUNDERS FINANCIAL SECURITIES, LLC | Nov 4, 2015 | Nov 5, 2015 | 1 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Aug 23, 2007 | Oct 1, 2007 | 39 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:137945:NC:2015-10-28 | Nov 4, 2015 | Nov 5, 2015 | MATTHEWS, NC | Firm change |