DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at V••••••• A•••••••• I•••
CHARLOTTE, 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 |
|---|---|---|---|---|---|---|
| V••••••• A•••••••• I••• | Bd affiliated wealth | Dec 1, 2015 | n/a | yes | CHARLOTTE, NC | Current employment |
| M• H••••••• S••••••••• I••• | Bd affiliated wealth | Mar 19, 2014 | Sep 21, 2015 | no | CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M• H••••••• S••••••••• I••• | V••••••• A•••••••• I••• | Sep 21, 2015 | Dec 1, 2015 | 71 | Firm change | Other |
| D•••• H••••• G•••••• W••••• A••••••• L•• | M• H••••••• S••••••••• I••• | Nov 18, 2011 | Mar 19, 2014 |
| D•••• H••••• G•••••• W••••• A••••••• L•• | Former SEC adviser | May 26, 2005 | Nov 18, 2011 | no | CHARLOTTE, NC | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 7, 2004 | Apr 5, 2005 | no | ATLANTA, GA | Previous registration |
| 852 |
| Firm change after gap |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | D•••• H••••• G•••••• W••••• A••••••• L•• | Apr 5, 2005 | May 26, 2005 | 51 | Firm change | Other |