DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• C•••••• A•••••••• L••
RALEIGH, NC | Raleigh, 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 |
|---|---|---|---|---|---|---|
| M••••• C•••••• A•••••••• L•• | Independent wealth | Jan 21, 2022 | n/a | yes | Raleigh, NC|RALEIGH, NC | Current employment |
| M••••• C•••••• A•••••••• L•• | Independent wealth | Jan 28, 2021 | Dec 31, 2021 | no | RALEIGH, NC|Raleigh, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••••• A•••••••• L•• | M••••• C•••••• A•••••••• L•• | Jul 11, 2019 | Jan 28, 2021 | 567 | Firm change after gap | Ibd to RIA |
| V••• F•••••••• P•••••••• L•• | E•••••••• A•••••••• L•• | Mar 4, 2010 | Mar 3, 2010 |
| E•••••••• A•••••••• L•• | National bd RIA | May 9, 2013 | Jul 11, 2019 | no | NEW YORK, NY|JERSEY CITY, NJ|NEW YORK, NY|RALEIGH, NC | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Mar 3, 2010 | Oct 19, 2012 | no | RALEIGH, NC | Previous registration |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Nov 21, 2008 | Mar 4, 2010 | no | RALEIGH, NC | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Dec 31, 2001 | Dec 2, 2008 | no | RALEIGH, NC|RALEIGH, NC | Previous registration |
| -1 |
| Firm change |
| Other |
| E•••••••• A•••••••• L•• | V••• F•••••••• P•••••••• L•• | Dec 2, 2008 | Nov 21, 2008 | -11 | Firm change | Other |