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Advisor at SHAREBUILDER 401K
Richmond, VA | SEATTLE, WA
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 |
|---|---|---|---|---|---|---|
| SHAREBUILDER 401K | No RAUM reported | Apr 19, 2023 | n/a | yes | Richmond, VA|SEATTLE, WA | Current employment |
| SHAREBUILDER 401K | No RAUM reported | Aug 2, 2019 | Apr 18, 2022 | no | SEATTLE, WA|Richmond, VA | Previous registration |
| CAPITAL ONE ADVISORS, LLC | Former SEC adviser | Jan 28, 2015 | Aug 1, 2019 | no | SEATTLE, WA|Glen Allen, VA|MCLEAN, VA | Previous registration |
| CAPITAL ONE FINANCIAL ADVISORS LLC | n/a | Feb 14, 2013 | Jan 28, 2015 | no | MELVILLE, NY | Previous registration |
| SPIRE WEALTH MANAGEMENT, LLC | Bd affiliated wealth | Oct 25, 2011 | Aug 29, 2012 | no | MCLEAN, VA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 25, 2010 | Sep 13, 2010 | no | GLEN ALLEN, VA | Previous registration |
| GIRARD SECURITIES, INC. | Former SEC adviser | May 12, 2010 | May 17, 2010 | no | NEWPORT NEWS, VA | Previous registration |
| MICG INVESTMENT MANAGEMENT, LLC | n/a | Dec 8, 2009 | May 7, 2010 | no | NEWPORT NEWS, VA|NEWPORT NEWS, VA|RICHMOND, VA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 11, 2008 | Jan 6, 2009 | no | RICHMOND, VA|WEEHAWKEN, NJ|RICHMOND, VA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Feb 3, 2006 | Jul 11, 2007 | no | RICHMOND, VA | Previous registration |
| BB&T INVESTMENT SERVICES, INC. | Former SEC adviser | Feb 16, 2005 | Oct 24, 2005 | no | CHARLOTTE, NC | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Oct 1, 1999 | Jan 6, 2005 | no | RICHMOND, VA | Previous registration |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 136865:300537:VA:2019-08-01 | Aug 1, 2019 | Aug 2, 2019 | MCLEAN, VA | Firm change |