DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••• A••••••• G••••• I•••
AYDEN, 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 |
|---|---|---|---|---|---|---|
| C••• A••••••• G••••• I••• | State registered | Apr 10, 2023 | n/a | yes | AYDEN, NC | Current employment |
| A•••••••• C•••••• M••••••••• | Independent wealth | Jul 10, 2017 | Dec 14, 2018 | no | Ayden, NC|CORNELIUS, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• P••••••• | A•••••••• C•••••• M••••••••• | Apr 12, 2023 | Jul 10, 2017 | -2,102 | Firm change after gap | Other |
| T•• J••••••• G••••• I••• | S••••••• P••••••• | Aug 31, 2021 | Nov 5, 2013 |
| S••••••• P••••••• | Independent wealth | Nov 5, 2013 | Apr 12, 2023 | no | AYDEN, NC | Previous registration |
| T•• J••••••• G••••• I••• | State registered | Dec 8, 2009 | Aug 31, 2021 | no | WINTERVILLE, NC | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Aug 11, 2000 | Mar 17, 2010 | no | AYDEN, NC|AYDEN, NC | Previous registration |
| -2,856 |
| Firm change after gap |
| Other |
| A•••••••• C•••••• M••••••••• | C••• A••••••• G••••• I••• | Dec 14, 2018 | Apr 10, 2023 | 1,578 | Firm change after gap | RIA to state RIA |
| O•••• F•• I••• | T•• J••••••• G••••• I••• | Mar 17, 2010 | Dec 8, 2009 | -99 | Firm change after gap | Other |