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Advisor at NATIONS FINANCIAL GROUP, INC.
KNOXVILLE, TN | CEDAR RAPIDS, IA
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 |
|---|---|---|---|---|---|---|
| NATIONS FINANCIAL GROUP, INC. | Independent wealth | Dec 16, 2022 | n/a | yes | KNOXVILLE, TN|CEDAR RAPIDS, IA | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Mar 6, 2015 | Dec 20, 2022 | no | KNOXVILLE, TN | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | May 19, 2008 | Mar 6, 2015 | no | KNOXVILLE, TN | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Feb 7, 2008 | Apr 9, 2008 | no | CROSSVILLE, TN|CROSSVILLE, TN|CROSSVILLE, TN | Previous registration |
| COMERICA SECURITIES | Former SEC adviser | May 6, 2004 | Aug 21, 2006 | no | DETROIT, MI|DETROIT, MI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | NATIONS FINANCIAL GROUP, INC. | Dec 20, 2022 | Dec 16, 2022 | -4 | Firm change | Wirehouse to RIA |
| WELLS FARGO ADVISORS | WELLS FARGO ADVISORS | Mar 6, 2015 | Mar 6, 2015 | 0 | Channel change | Wirehouse to wirehouse |
| FSC SECURITIES CORPORATION | WELLS FARGO ADVISORS | Apr 9, 2008 | May 19, 2008 | 40 | Firm change | Other |
| COMERICA SECURITIES | FSC SECURITIES CORPORATION | Aug 21, 2006 | Feb 7, 2008 | 535 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 11025:44181:TN:2022-12-20 | Dec 20, 2022 | Dec 16, 2022 | KNOXVILLE, TN | Firm change |
| 19616:11025:TN:2015-03-06 | Mar 6, 2015 | Mar 6, 2015 | KNOXVILLE, TN | Firm change |