DFX Intelligence
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Reading the graph
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Advisor at W•••••• A•••••••• L••
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 |
|---|---|---|---|---|---|---|
| W•••••• A•••••••• L•• | Independent wealth | Feb 15, 2018 | n/a | yes | CHARLOTTE, NC | Current employment |
| D•••••• W••••• M••••••••• L•• | Asset manager | Feb 24, 2022 | Sep 7, 2023 | no | ST. PETERSBURG, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• W••••• M••••••••• L•• | n/a | Sep 7, 2023 | n/a | n/a | Departure no registered destination | Departure |
| M••••• S•••••• | W•••••• A•••••••• L•• | Dec 19, 2012 | Feb 15, 2018 | 1,884 |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Dec 19, 2012 | no | PURCHASE, NY | Previous registration |
| L••• M•••• W••• W•••••• I••••••••• | n/a | Dec 20, 2005 | Feb 21, 2006 | no | NEW YORK, NY | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jan 9, 1991 | Jun 1, 2009 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| Other |
| C•••••••• G••••• M•••••• I••• | L••• M•••• W••• W•••••• I••••••••• | Jun 1, 2009 | Dec 20, 2005 | -1,259 | Firm change after gap | Other |
| L••• M•••• W••• W•••••• I••••••••• | M••••• S•••••• | Feb 21, 2006 | Jun 1, 2009 | 1,196 | Firm change after gap | Other |