DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••••• A•••••••
CRAMERTON, 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••••••• | Independent wealth | Oct 10, 2024 | n/a | yes | CRAMERTON, NC | Current employment |
| D•••••• L••• S••••• L•• | Former SEC adviser | Aug 9, 2021 | Sep 11, 2024 | no | Belmont, NC|ROME, GA|ROME, GA|Cramerton, NC|Cramerton, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• L••• S••••• L•• | W••••••••• A••••••• | Sep 11, 2024 | Oct 10, 2024 | 29 | Firm change | RIA to new firm |
| M••••• S•••••• | D•••••• L••• S••••• L•• | Jul 31, 2015 | Aug 9, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 141238:332312:NC:2024-09-11 | Sep 11, 2024 | Oct 10, 2024 | CRAMERTON, NC | Firm change |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jul 31, 2015 | no | Charlotte, NC | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | CHARLOTTE, NC | Previous registration |
| M••••• S•••••• D• I••• | n/a | Nov 16, 2005 | Apr 2, 2007 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| Firm change after gap |
| Wirehouse to RIA |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |