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S••••• C•••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S••••• C•••• D•••••

Advisor at C••••• U•••• I••••••••• S•••••••

GASTONIA, NC

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Search this name across graphsid dfx:ria:d1c28241-3d5d-55e0-a570-80bd8cfa5f65

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1990 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• U•••• I••••••••• S•••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Current registrations

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• U•••• I••••••••• S•••••••	State registered	Sep 20, 2007	n/a	yes	GASTONIA, NC	Current employment

Relationships

Registered with (1)

→ C••••• U•••• I••••••••• S•••••••Registered adviserregistration: current employment
Sep 20, 2007 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d1c28241-3d5d-55e0-a570-80bd8cfa5f65
First observed: Jan 1, 1990
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.