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Advisor at COMMONWEALTH FINANCIAL NETWORK
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 |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Nov 11, 2024 | n/a | yes | Charlotte, NC | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Nov 3, 2023 | Nov 15, 2024 | no | CHARLOTTE, NC | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Dec 14, 2001 | Nov 3, 2023 | no | CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | COMMONWEALTH FINANCIAL NETWORK | Nov 15, 2024 | Nov 11, 2024 | -4 | Firm change | Ibd to ibd |
| FSC SECURITIES CORPORATION | OSAIC WEALTH, INC. | Nov 3, 2023 | Nov 3, 2023 | 0 | Bulk transfer | Ibd to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:8032:NC:2024-11-15 | Nov 15, 2024 | Nov 11, 2024 | CHARLOTTE, NC | Firm change |