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Advisor at HOBART WEALTH
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 |
|---|---|---|---|---|---|---|
| HOBART WEALTH | Independent wealth | Feb 6, 2015 | n/a | yes | CHARLOTTE, NC | Current employment |
| GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | Former SEC adviser | Oct 15, 2014 | Nov 30, 2017 | no | CHARLOTTE, NC|SARASOTA, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Nov 19, 2012 | Sep 30, 2014 | no | CHARLOTTE, NC|ROCK HILL, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | HOBART WEALTH | Nov 30, 2017 | Feb 6, 2015 | -1,028 | Firm change after gap | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | GLOBAL FINANCIAL PRIVATE CAPITAL, INC. | Sep 30, 2014 | Oct 15, 2014 | 15 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 132070:168494:FL:2017-11-29 | Nov 30, 2017 | Feb 6, 2015 | SARASOTA, FL | Firm change after gap |