DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at ALLY INVEST ADVISORS
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 |
|---|---|---|---|---|---|---|
| ALLY INVEST ADVISORS | Independent wealth | Sep 18, 2023 | n/a | yes | CHARLOTTE, NC | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 18, 2019 | Oct 12, 2021 | no | CHARLOTTE, NC|CONCORD, NC|CONCORD, NC|WAXHAW, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | ALLY INVEST ADVISORS | Oct 12, 2021 | Sep 18, 2023 | 706 | Firm change after gap | Wirehouse to RIA |