DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• M•••••••••
ROCKFORD, IL | Satellite Beach, FL
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 |
|---|---|---|---|---|---|---|
| S••••• W••••• M••••••••• | Independent wealth | Mar 10, 2024 | n/a | yes | Satellite Beach, FL|ROCKFORD, IL | Current employment |
| F•••••••• F•••••••• | Former SEC adviser | Jul 18, 2017 | Jul 1, 2024 | no | SATELLITE BEACH, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• F•••••••• | S••••• W••••• M••••••••• | Jul 1, 2024 | Mar 10, 2024 | -113 | Firm change after gap | Other |
| I••••• F•••••••• C••••••••• | F•••••••• F•••••••• | Jun 12, 2017 | Jul 18, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111044:107271:FL:2024-07-01 | Jul 1, 2024 | Mar 10, 2024 | SATELLITE BEACH, FL | Firm change after gap |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Apr 6, 2016 | Jun 12, 2017 | no | MELBOURNE, FL|MELBOURNE, FL|Viera, FL|STUART, FL|MELBOURNE, FL | Previous registration |
| I••••••••• A••••••• S••••••• I•• | Former SEC adviser | Jan 14, 2013 | Apr 13, 2016 | no | MELBOURNE, FL|MELBOURNE, FL|MELBOURNE, FL | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Sep 10, 2009 | Jan 4, 2013 | no | MELBOURNE, FL | Previous registration |
| U•••• F•••••••• S••••••• G••••• I••• | n/a | Oct 2, 2007 | Sep 10, 2009 | no | INDIAN HARBOUR BEACH, FL | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 14, 2005 | Oct 3, 2007 | no | CHAPEL HILL, NC|CHAPEL HILL, NC|RALEIGH, NC | Previous registration |
| S••••• S••••••••• C••••••••• | n/a | Nov 10, 2004 | Aug 25, 2005 | no | PLACENTIA, CA | Previous registration |
| K••• F•••••••• M••••••••• L•• | Former SEC adviser | Nov 9, 2004 | Aug 31, 2005 | no | PLACENTIA, CA | Previous registration |
| 36 |
| Firm change |
| Other |
| I••••••••• A••••••• S••••••• I•• | I••••• F•••••••• C••••••••• | Apr 13, 2016 | Apr 6, 2016 | -7 | Firm change | Other |
| I••••• F•••••••• C••••••••• | I••••••••• A••••••• S••••••• I•• | Jan 4, 2013 | Jan 14, 2013 | 10 | Firm change | Other |
| U•••• F•••••••• S••••••• G••••• I••• | I••••• F•••••••• C••••••••• | Sep 10, 2009 | Sep 10, 2009 | 0 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | U•••• F•••••••• S••••••• G••••• I••• | Oct 3, 2007 | Oct 2, 2007 | -1 | Firm change | Other |
| K••• F•••••••• M••••••••• L•• | S••••• S••••••••• C••••••••• | Aug 31, 2005 | Nov 10, 2004 | -294 | Firm change after gap | Other |
| S••••• S••••••••• C••••••••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Aug 25, 2005 | Oct 14, 2005 | 50 | Firm change | Other |