DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at M••••• S••••••
West Hartford, 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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Jan 26, 2024 | n/a | yes | West Hartford, CT | Current employment |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Sep 2, 2021 | Jan 30, 2024 | no | West Hartford, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | M••••• S•••••• | Jan 30, 2024 | Jan 26, 2024 | -4 | Firm change | Ibd to wirehouse |
| R•••••• J•••• • A••••••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Sep 14, 2021 | Sep 2, 2021 |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | May 27, 2016 | Sep 14, 2021 | no | West Hartford, CT | Previous registration |
| N•••••••• W••••• P••••••• L•• | Former SEC adviser | Jan 14, 2014 | May 31, 2016 | no | WEST HARTFORD, CT | Previous registration |
| S•••••• W••••• P•••••••• L•• | Bd affiliated wealth | Sep 1, 2010 | Dec 31, 2011 | no | WEST HARTFORD, CT | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 31, 2008 | Apr 22, 2016 | no | BEACHWOOD, OH|NEWINGTON, CT|SAN DIEGO, CA|WEST HARTFORD, CT | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Mar 11, 2005 | Nov 4, 2008 | no | NEWINGTON, CT|NEWINGTON, CT | Previous registration |
| -12 |
| Firm change |
| Ibd to ibd |
| N•••••••• W••••• P••••••• L•• | R•••••• J•••• • A••••••••• I••• | May 31, 2016 | May 27, 2016 | -4 | Firm change | Other |
| L•• F•••••••• L•• | S•••••• W••••• P•••••••• L•• | Apr 22, 2016 | Sep 1, 2010 | -2,060 | Firm change after gap | Other |
| S•••••• W••••• P•••••••• L•• | N•••••••• W••••• P••••••• L•• | Dec 31, 2011 | Jan 14, 2014 | 745 | Firm change after gap | Other |
| O•••• F•• I••• | L•• F•••••••• L•• | Nov 4, 2008 | Oct 31, 2008 | -4 | Firm change | Other |