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 L•• F•••••••• L••
••• Locked
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•• F•••••••• L•• | Bd affiliated wealth | Dec 8, 2023 | n/a | yes | BOCA RATON, FL|FORT MILL, SC|RIDGEFIELD, CT | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | Nov 27, 2020 | Dec 22, 2023 | no | Westport, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | L•• F•••••••• L•• | Dec 22, 2023 | Dec 8, 2023 | -14 | Firm change | Ibd to ibd |
| M••••• S•••••• | R•• C•••••• M••••••• L•• | Dec 21, 2020 | Nov 27, 2020 |
| M••••• S•••••• | Wirehouse | Oct 21, 2011 | Dec 21, 2020 | no | Ridgefield, CT | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | Oct 25, 2011 | no | RIDGEFIELD, CT|SOUTHBURY, CT|RIDGEFIELD, CT|NEW HAVEN, CT|RIDGEFIELD, CT | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Oct 23, 2009 | no | HAMDEN, CT|RIDGEFIELD, CT|HAMDEN, CT|SOUTHBURY, CT|WATERBURY, CT|NEW FAIRFIELD, CT|NEWTOWN, CT|WATERTOWN, CT|SOUTHBURY, CT|WATERBURY, CT|NAUGATUCK, CT|WATERBURY, CT|WATERBURY, CT|PROSPECT, CT|HAMDEN, CT|SOUTHBURY, CT | Previous registration |
| Q•••• • R•••••• I••• | n/a | Aug 3, 2004 | Oct 20, 2004 | no | HARTFORD, CT | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jun 15, 2001 | Aug 20, 2004 | no | RIDGEFIELD, CT | Previous registration |
| Firm change |
| Wirehouse to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• | Oct 25, 2011 | Oct 21, 2011 | -4 | Firm change | Wirehouse to wirehouse |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |
| U•• F•••••••• S••••••• I••• | Q•••• • R•••••• I••• | Aug 20, 2004 | Aug 3, 2004 | -17 | Firm change | Other |