DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
HICKORY, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 17, 2019 | n/a | yes | HICKORY, NC | Current employment |
| S•••••••• F••••••••• I••• | Former SEC adviser | Sep 1, 2016 | Sep 19, 2019 | no | HICKORY, NC|GRANITE FALLS, NC|HICKORY, NC|GRANITE FALLS, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• F••••••••• I••• | L•• F•••••••• L•• | Sep 19, 2019 | Sep 17, 2019 | -2 | Firm change | Ibd to ibd |
| R••••••• P••••••• L•• | S•••••••• F••••••••• I••• | Feb 8, 2017 | Sep 1, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 133763:6413:NC:2019-09-19 | Sep 19, 2019 | Sep 17, 2019 | GRANITE FALLS, NC | Firm change |
| R••••••• P••••••• L•• | Former SEC adviser | Apr 27, 2006 | Feb 8, 2017 | no | HICKORY, NC | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Mar 29, 2006 | Apr 26, 2006 | no | HICKORY, NC | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Dec 31, 2001 | Mar 29, 2006 | no | HICKORY, NC | Previous registration |
| -160 |
| Firm change after gap |
| Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | R••••••• P••••••• L•• | Apr 26, 2006 | Apr 27, 2006 | 1 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | R•••••• J•••• F•••••••• S•••••••• I••• | Mar 29, 2006 | Mar 29, 2006 | 0 | Firm change | Other |