DFX Intelligence
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Advisor at C•••••••
MOUNTAIN BROOK, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| C••••••• | Independent wealth | Nov 20, 2017 | n/a | yes | MOUNTAIN BROOK, AL | Current employment |
| J•• W•••••• L•• | Former SEC adviser | Dec 15, 2021 | Dec 31, 2023 | no | GREENVILLE, SC|Vestavia, AL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J•• W•••••• L•• | n/a | Dec 31, 2023 | n/a | n/a | Departure no registered destination | Departure |
| J•• W•••••• L•• | C••••••• | Sep 13, 2017 | Nov 20, 2017 | 68 |
| J•• W•••••• L•• | Former SEC adviser | Jan 6, 2017 | Sep 13, 2017 | no | Birmingham, AL|GREENVILLE, SC | Previous registration |
| J•• W•••••• L•• | Former SEC adviser | Jul 21, 2016 | Dec 31, 2016 | no | Birmingham, AL|GREENVILLE, SC | Previous registration |
| S••••• A••• A•••• M••••••••• I••• | Former SEC adviser | Aug 27, 2014 | Mar 18, 2015 | no | BIRMINGHAM, AL | Previous registration |
| Other |
| S••••• A••• A•••• M••••••••• I••• | J•• W•••••• L•• | Mar 18, 2015 | Jul 21, 2016 | 491 | Firm change after gap | Other |