DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
Hickory, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2023 | n/a | yes | Hickory, NC | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 17, 2020 | Sep 7, 2023 | no | HICKORY, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | C••••• I••••••••• A••••••• L•• | Sep 7, 2023 | Sep 5, 2023 | -2 | Firm change | Ibd to ibd |
| I••••••••• A••••••• S••••••• I•• | S••••••••• A•••••• A•••••••• I••• | Jul 17, 2020 | Jul 17, 2020 |
| I••••••••• A••••••• S••••••• I•• | Former SEC adviser | Dec 15, 2017 | Jul 17, 2020 | no | Hickory, NC | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jun 25, 2010 | Dec 19, 2017 | no | HICKORY, NC|HICKORY, NC|RALEIGH, NC|NORTH MYRTLE BEACH, SC | Previous registration |
| O••••••• F•••••••• G••••• I••• | Independent wealth | Feb 17, 2009 | Jul 27, 2010 | no | HICKORY, NC | Previous registration |
| O••••••• F•••••••• G••••• I••• | Independent wealth | May 23, 2006 | Dec 31, 2008 | no | HICKORY, NC | Previous registration |
| O• I••••••••• M••••••••• C• | Bd affiliated wealth | Jan 28, 2006 | May 3, 2006 | no | HICKORY, NC|CINCINNATI, OH | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| W••••••• F•••••••• S•••••••• I••• | I••••••••• A••••••• S••••••• I•• | Dec 19, 2017 | Dec 15, 2017 | -4 | Firm change | Other |
| O••••••• F•••••••• G••••• I••• | W••••••• F•••••••• S•••••••• I••• | Jul 27, 2010 | Jun 25, 2010 | -32 | Firm change after gap | Other |
| O• I••••••••• M••••••••• C• | O••••••• F•••••••• G••••• I••• | May 3, 2006 | May 23, 2006 | 20 | Firm change | Other |