DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
ROCK HILL, SC | 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | ROCK HILL, SC|CHARLOTTE, NC | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 6, 2021 | Mar 31, 2025 | no | CHARLOTTE, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| U•• F•••••••• S••••••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Mar 30, 2021 | Apr 6, 2021 |
| U•• F•••••••• S••••••• I••• | Wirehouse | Feb 16, 2018 | Mar 30, 2021 | no | WEEHAWKEN, NJ|CHARLOTTE, NC | Previous registration |
| T•••••• P•••• F••••••••• I••• | State registered | May 7, 2014 | Dec 3, 2015 | no | CHARLOTTE, NC|MATTHEWS, NC | Previous registration |
| 7 |
| Firm change |
| Wirehouse to ibd |
| T•••••• P•••• F••••••••• I••• | U•• F•••••••• S••••••• I••• | Dec 3, 2015 | Feb 16, 2018 | 806 | Firm change after gap | Other |