DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H•••• F•••••••• P•••••••• L••
SOUTHERN PINES, 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 |
|---|---|---|---|---|---|---|
| H•••• F•••••••• P•••••••• L•• | State registered | Feb 2, 2022 | n/a | yes | SOUTHERN PINES, NC | Current employment |
| C•• A•••••••• L•• | Independent wealth | Jun 25, 2018 | Feb 2, 2022 | no | SOUTHERN PINES, NC|MANHATTAN, KS|Cary, NC|CHARLOTTE, NC|Durham, NC|Cary, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•• A•••••••• L•• | H•••• F•••••••• P•••••••• L•• | Feb 2, 2022 | Feb 2, 2022 | 0 | Firm change | RIA to state RIA |
| A••••••••• F•••••••• S•••••••• L•• | C•• A•••••••• L•• | Jun 25, 2018 | Jun 25, 2018 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 7, 2017 | Jun 25, 2018 | no | SOUTHERN PINES, NC | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 13, 2016 | Jun 6, 2017 | no | Pinehurst, NC | Previous registration |
| A••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Jan 22, 2016 | Jun 7, 2016 | no | PINEHURST, NC | Previous registration |
| 0 |
| Firm change |
| Ibd to RIA |
| S••••••••• A•••••• A•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Jun 6, 2017 | Jun 7, 2017 | 1 | Firm change | Other |
| A••••••• F•••••••• A•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Jun 7, 2016 | Jun 13, 2016 | 6 | Firm change | Other |