DFX Intelligence
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Reading the graph
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Advisor at C••• S••••• P•••••••
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 |
|---|---|---|---|---|---|---|
| C••• S••••• P••••••• | Bd affiliated wealth | Oct 27, 2023 | n/a | yes | Charlotte, NC | Current employment |
| M••••• P•••••• C•••••• G•••• | Independent wealth | Nov 29, 2017 | Nov 3, 2023 | no | Los Angeles, CA|Newport Beach, CA|CORNELIUS, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• P•••••• C•••••• G•••• | C••• S••••• P••••••• | Nov 3, 2023 | Oct 27, 2023 | -7 | Firm change | RIA to ibd |
| N•••••••• B••••• B• L•• | M••••• P•••••• C•••••• G•••• | Nov 14, 2017 | Nov 29, 2017 |
| N•••••••• B••••• B• L•• | No RAUM reported | Apr 21, 2006 | Nov 14, 2017 | no | LOS ANGELES, CA|NEW YORK, NY|LOS ANGELES, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 13, 2002 | Mar 14, 2005 | no | GLENDALE, CA | Previous registration |
| 15 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | N•••••••• B••••• B• L•• | Mar 14, 2005 | Apr 21, 2006 | 403 | Firm change after gap | Other |