DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•• I••••••••• L••
VERNON, CT
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 |
|---|---|---|---|---|---|---|
| R•• I••••••••• L•• | State registered | Jan 31, 2025 | n/a | yes | VERNON, CT | Current employment |
| R•• I••••••••• L•• | State registered | Mar 12, 2013 | Dec 31, 2024 | no | VERNON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | R•• I••••••••• L•• | Feb 5, 2013 | Mar 12, 2013 | 35 | Firm change | Wirehouse to state RIA |
| A•••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Mar 8, 2006 | Mar 8, 2006 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• |
| Wirehouse |
| Mar 8, 2006 |
| Feb 5, 2013 |
| no |
| WEST HARTFORD, CT|NEW YORK, NY |
| Previous registration |
| A•••••• I••• | n/a | Apr 29, 2005 | Mar 8, 2006 | no | FARMINGTON, CT | Previous registration |
| M••• S••••••••• C••••••••• | n/a | Dec 2, 2003 | Apr 21, 2005 | no | BERLIN, CT | Previous registration |
| T•••••• S••••••••• A••••••• C•••• | n/a | Aug 29, 2003 | Dec 2, 2003 | no | BERLIN, CT | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| M••• S••••••••• C••••••••• | A•••••• I••• | Apr 21, 2005 | Apr 29, 2005 | 8 | Firm change | Other |
| T•••••• S••••••••• A••••••• C•••• | M••• S••••••••• C••••••••• | Dec 2, 2003 | Dec 2, 2003 | 0 | Firm change | Other |