DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• W••••• M•••••••••
Raleigh, NC | RALEIGH, 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•••••• W••••• M••••••••• | Mixed wealth | Jul 11, 2023 | n/a | yes | Raleigh, NC|RALEIGH, NC | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 13, 2013 | Jun 21, 2023 | no | RALEIGH, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | C•••••• W••••• M••••••••• | Jun 21, 2023 | Jul 11, 2023 | 20 | Firm change | Ibd to RIA |
| R•• C•••••• M••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Oct 10, 2013 | Sep 13, 2013 |
| R•• C•••••• M••••••• L•• | National bd RIA | Oct 18, 2002 | Oct 10, 2013 | no | RALEIGH, NC|CARY, NC | Previous registration |
| J•• L•••••• S••••••••• I••• | n/a | Aug 26, 2002 | Oct 21, 2002 | no | CARY, NC | Previous registration |
| M••••• S•••••• D• I••• | n/a | Dec 31, 2001 | Aug 27, 2002 | no | RALEIGH, NC | Previous registration |
| -27 |
| Firm change |
| Ibd to ibd |
| J•• L•••••• S••••••••• I••• | R•• C•••••• M••••••• L•• | Oct 21, 2002 | Oct 18, 2002 | -3 | Firm change | Other |
| M••••• S•••••• D• I••• | J•• L•••••• S••••••••• I••• | Aug 27, 2002 | Aug 26, 2002 | -1 | Firm change | Other |