DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
WILMINGTON, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 1, 2025 | n/a | yes | WILMINGTON, NC | Current employment |
| S•• I••••••••• A•••••••• I••• | Former SEC adviser | Jan 6, 2015 | May 14, 2025 | no | FRESNO, CA|WILMINGTON, NC|SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• I••••••••• A•••••••• I••• | L•• F•••••••• L•• | May 14, 2025 | May 1, 2025 | -13 | Bulk transfer | Ibd to ibd |
| T•• S•••••••• F•••••••• A••••••• | S•• I••••••••• A•••••••• I••• | Jan 2, 2015 | Jan 6, 2015 |
| T•• S•••••••• F•••••••• A••••••• | Bd affiliated wealth | Mar 17, 2004 | Jan 2, 2015 | no | FAYETTEVILLE, NC|FAYETTEVILLE, NC|FREDERICKSBURG, VA|MYRTLE BEACH, SC|ATLANTA, GA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Dec 31, 2001 | Apr 1, 2004 | no | WILMINGTON, NC | Previous registration |
| 4 |
| Firm change |
| Other |
| M••••• S•••••• D• I••• | T•• S•••••••• F•••••••• A••••••• | Apr 1, 2004 | Mar 17, 2004 | -15 | Firm change | Other |