DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Connor Snook

Advisor at ALLY INVEST ADVISORS

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8e48d20b-785a-cd51-9b8a-4a1fa17a8c8f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2013 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLY INVEST ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 26, 2013
First registration: Feb 27, 2013
Dual registered: yes, broker-dealer
Other names: Connor Girard Snook|CONNOR G SNOOK|Connor Snook
IAPD individual key: 6143735

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLY INVEST ADVISORS	Independent wealth	Mar 17, 2026	n/a	yes	CHARLOTTE, NC	Current employment
ALLY INVEST ADVISORS	Independent wealth	Jun 24, 2020	Jan 6, 2026	no	CHARLOTTE, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 11, 2018	Jun 26, 2018	no	CHARLOTTE, NC\|NEW YORK, NY	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Oct 29, 2014	Apr 8, 2016	no	MEMPHIS, TN	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Apr 28, 2014	May 27, 2014	no	SOUTHHAVEN, MS\|GREENWOOD VILLAGE, CO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 27, 2013	Mar 25, 2014	no	PENNINGTON, NJ\|PENNINGTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ALLY INVEST ADVISORS	Jun 26, 2018	Jun 24, 2020	729	Firm change after gap	Wirehouse to RIA
RAYMOND JAMES & ASSOCIATES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 8, 2016	Jan 11, 2018	643	Firm change after gap	Ibd to wirehouse
CETERA ADVISORS LLC	RAYMOND JAMES & ASSOCIATES, INC.	May 27, 2014	Oct 29, 2014	155	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CETERA ADVISORS LLC	Mar 25, 2014	Apr 28, 2014	34	Firm change	Other

Relationships

Registered with (4)

→ ALLY INVEST ADVISORSRegistered adviserregistration: previous registration
Jun 24, 2020 to Jan 6, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 11, 2018 to Jun 26, 2018factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Oct 29, 2014 to Apr 8, 2016factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Apr 28, 2014 to May 27, 2014factForm ADV

Dated events

No dated event names this entity yet.