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Advisor at PNC WEALTH MANAGEMENT
SEMMES, AL | MOBILE, AL
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 |
|---|---|---|---|---|---|---|
| PNC WEALTH MANAGEMENT | Bd affiliated wealth | Apr 4, 2024 | n/a | yes | MOBILE, AL|MOBILE, AL|SEMMES, AL | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 18, 2022 | Apr 4, 2024 | no | MOBILE, AL|MOSS POINT, MS | Previous registration |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Sep 28, 2016 | May 18, 2022 | no | Mobile, AL|Mobile, AL|MOSS POINT, MS | Previous registration |
| PARK AVENUE SECURITIES LLC | Bd affiliated wealth | Sep 16, 2015 | Sep 7, 2016 | no | MOBILE, AL | Previous registration |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | May 14, 2015 | Jul 8, 2015 | no | MOBILE, AL|Fort Lauderdale, FL | Previous registration |
| HARBOR FINANCIAL SERVICES, LLC | Former SEC adviser | Oct 18, 2011 | Nov 4, 2014 | no | HIGHPOINT, NC|SIOUX FALLS, SD|DALLAS, TX|MOBILE, AL|MOBILE, AL | Previous registration |
| SECURITIES NETWORK LLC | n/a | May 20, 2009 | Nov 12, 2010 | no | NORCROSS, GA|MOBILE, AL|NORCROSS, GA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Apr 3, 2007 | Mar 17, 2008 | no | ATLANTA, GA|ATLANTA, GA|ATLANTA, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | PNC WEALTH MANAGEMENT | Apr 4, 2024 | Apr 4, 2024 | 0 | Firm change | Ibd to ibd |
| CUNA BROKERAGE SERVICES, INC. | LPL FINANCIAL LLC | May 18, 2022 | May 18, 2022 | 0 | Bulk transfer | Ibd to RIA |
| PARK AVENUE SECURITIES LLC | CUNA BROKERAGE SERVICES, INC. | Sep 7, 2016 | Sep 28, 2016 | 21 | Firm change | Other |
| VOYA FINANCIAL ADVISORS, INC. | PARK AVENUE SECURITIES LLC | Jul 8, 2015 | Sep 16, 2015 | 70 | Firm change | Other |
| HARBOR FINANCIAL SERVICES, LLC | VOYA FINANCIAL ADVISORS, INC. | Nov 4, 2014 | May 14, 2015 | 191 | Firm change | Other |
| SECURITIES NETWORK LLC | HARBOR FINANCIAL SERVICES, LLC | Nov 12, 2010 | Oct 18, 2011 | 340 | Firm change | Other |
| FSC SECURITIES CORPORATION | SECURITIES NETWORK LLC | Mar 17, 2008 | May 20, 2009 | 429 | Firm change after gap | Other |