DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Johns Creek, GA
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•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Nov 1, 2019 | n/a | yes | Johns Creek, GA | Current employment |
| T•••• A•••••••• L•• | Former SEC adviser | Nov 7, 2014 | Oct 31, 2019 | no | Peachtree Corners, GA|NORCROSS, GA|ATLANTA, GA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•••• A•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Oct 31, 2019 | Nov 1, 2019 | 1 | Firm change | Ibd to ibd |
| R••••••• H••••••• I••••••••• A•••••••• I••• | T•••• A•••••••• L•• | Dec 31, 2014 | Nov 7, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 25803:134139:GA:2019-10-31 | Oct 31, 2019 | Nov 1, 2019 | ATLANTA, GA | Firm change |
| R••••••• H••••••• I••••••••• A•••••••• I••• | Former SEC adviser | Jan 8, 2008 | Dec 31, 2014 | no | NORCROSS, GA|ROSWELL, GA|NORCROSS, GA | Previous registration |
| R••••••• H••••••• G•••• L•• | n/a | May 2, 2006 | Dec 31, 2007 | no | ALPHARETTA, GA|NORCROSS, GA|MARIETTA, GA|MARIETTA, GA|NORCROSS, GA | Previous registration |
| 1•• D••••••• B••••••••• I••• | Independent wealth | May 6, 2004 | Dec 9, 2004 | no | ORANGE PARK, FL|NORCROSS, GA|FLEMING ISLAND, FL | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 20, 2003 | May 14, 2004 | no | ATLANTA, GA | Previous registration |
| -54 |
| Firm change after gap |
| Other |
| R••••••• H••••••• G•••• L•• | R••••••• H••••••• I••••••••• A•••••••• I••• | Dec 31, 2007 | Jan 8, 2008 | 8 | Firm change | Other |
| 1•• D••••••• B••••••••• I••• | R••••••• H••••••• G•••• L•• | Dec 9, 2004 | May 2, 2006 | 509 | Firm change after gap | Other |
| M•• I•••••••• S•••••••• L•• | 1•• D••••••• B••••••••• I••• | May 14, 2004 | May 6, 2004 | -8 | Firm change | Other |