DFX Intelligence
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Reading the graph
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Advisor at L•••• W••••• M•••••••••
OMAHA, NE | OLYMPIA FIELDS, IL
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 |
|---|---|---|---|---|---|---|
| L•••• W••••• M••••••••• | State registered | Jul 18, 2023 | n/a | yes | OLYMPIA FIELDS, IL|OMAHA, NE | Current employment |
| E•••••••• C•••••• M••••••••• I•• | State registered | Nov 7, 2013 | Jul 17, 2023 | no | OMAHA, NE|MATTESON, IL|MATTESON, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••••• C•••••• M••••••••• I•• | L•••• W••••• M••••••••• | Jul 17, 2023 | Jul 18, 2023 | 1 | Firm change | Other |
| W•••••• • R••• | E•••••••• C•••••• M••••••••• I•• | Nov 11, 2013 | Nov 7, 2013 |
| W•••••• • R••• | Former SEC adviser | Dec 9, 2009 | Nov 11, 2013 | no | MATTESON, IL|MOKENA, IL|MATTESON, IL|E•••••••• PARK, IL | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 14, 2003 | Mar 12, 2004 | no | ITASCA, IL | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jun 25, 2002 | Jun 9, 2003 | no | CHICAGO, IL | Previous registration |
| -4 |
| Firm change |
| Other |
| M•• F•••••••• S•••••••• I••• | W•••••• • R••• | Mar 12, 2004 | Dec 9, 2009 | 2,098 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | M•• F•••••••• S•••••••• I••• | Jun 9, 2003 | Aug 14, 2003 | 66 | Firm change | Other |