DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••• H•••••••• C••••••••• I•••
PELHAM, 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 |
|---|---|---|---|---|---|---|
| F•••• H•••••••• C••••••••• I••• | Bd affiliated wealth | Oct 11, 2013 | n/a | yes | PELHAM, AL | Current employment |
| F•••• H•••••••• C••••••••• I••• | Bd affiliated wealth | Jan 3, 2012 | Apr 26, 2013 | no | PELHAM, AL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | F•••• H•••••••• C••••••••• I••• | Dec 31, 2011 | Jan 3, 2012 | 3 | Firm change | Other |
| W••••• S••••• S••••••••• I••• | U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Mar 1, 2010 |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Independent wealth | Mar 1, 2010 | Dec 31, 2011 | no | SCOTTSDALE, AZ|PELHAM, AL | Previous registration |
| W••••• S••••• S••••••••• I••• | Former SEC adviser | May 3, 2006 | Mar 1, 2010 | no | PELHAM, AL | Previous registration |
| W••••• S••••• A••••••• I•• | n/a | Jul 26, 1996 | Nov 2, 2006 | no | PELHAM, AL | Previous registration |
| 0 |
| Firm change |
| Other |
| W••••• S••••• A••••••• I•• | W••••• S••••• S••••••••• I••• | Nov 2, 2006 | May 3, 2006 | -183 | Bulk transfer | Other |