DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••• C•••••• M•••••••••
MARIETTA, GA
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 |
|---|---|---|---|---|---|---|
| N•••••• C•••••• M••••••••• | Mixed wealth | Oct 12, 2018 | n/a | yes | MARIETTA, GA | Current employment |
| P••••••• T•• • A•••••••• L•• | Independent wealth | Sep 19, 2017 | Oct 3, 2018 | no | ATLANTA, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••• T•• • A•••••••• L•• | N•••••• C•••••• M••••••••• | Oct 3, 2018 | Oct 12, 2018 | 9 | Firm change | RIA to RIA |
| L•• F•••••••• L•• | P••••••• T•• • A•••••••• L•• | Sep 12, 2017 | Sep 19, 2017 |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 19, 2013 | Sep 12, 2017 | no | ATLANTA, GA | Previous registration |
| Y••••••••• A•••••••• L•• | Former SEC adviser | Mar 23, 2011 | Sep 17, 2013 | no | ATLANTA, GA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Dec 15, 2009 | Jan 22, 2010 | no | CUMMING, GA | Previous registration |
| 7 |
| Firm change |
| Other |
| Y••••••••• A•••••••• L•• | L•• F•••••••• L•• | Sep 17, 2013 | Sep 19, 2013 | 2 | Firm change | Other |
| E•••••••• A•••••••• L•• | Y••••••••• A•••••••• L•• | Jan 22, 2010 | Mar 23, 2011 | 425 | Firm change after gap | Other |