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Advisor at ADVICE AND PLANNING SERVICES
Stanley, NC | 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 |
|---|---|---|---|---|---|---|
| ADVICE AND PLANNING SERVICES | Bd affiliated wealth | Sep 22, 2017 | n/a | yes | CHARLOTTE, NC|Stanley, NC | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Jul 3, 2012 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Mar 31, 2005 | Oct 23, 2009 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | ADVICE AND PLANNING SERVICES | Jul 3, 2012 | Sep 22, 2017 | 1,907 | Firm change after gap | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |