DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••• F••••• W•••••
CLEARWATER, 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 |
|---|---|---|---|---|---|---|
| N•••• F••••• W••••• | Independent wealth | Aug 30, 2022 | n/a | yes | CLEARWATER, FL | Current employment |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Dec 20, 2018 | Sep 20, 2022 | no | ST. PETERSBURG, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | N•••• F••••• W••••• | Sep 20, 2022 | Aug 30, 2022 | -21 | Firm change | Ibd to RIA |
| U••• I••••••••• S••••••• C•••••• | R•••••• J•••• • A••••••••• I••• | Dec 17, 2018 | Dec 20, 2018 |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | Dec 17, 2018 | no | SAN ANTONIO, TX | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jul 15, 2016 | Jan 8, 2018 | no | TAMPA, FL|TAMPA, FL | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 11, 2014 | Jun 13, 2016 | no | HANOVER, MD|COLUMBIA, MD|HANOVER, MD | Previous registration |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Dec 9, 2013 | Oct 31, 2014 | no | SAN DIEGO, CA|HANOVER, MD | Previous registration |
| H• B•••• I••• | Former SEC adviser | Feb 1, 2012 | Dec 31, 2013 | no | Lutherville, MD|HUNT VALLEY, MD|Lutherville, MD | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | May 12, 2008 | Mar 30, 2010 | no | ELKRIDGE, MD | Previous registration |
| 3 |
| Firm change |
| Ibd to ibd |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U••• F•••••••• P••••••• S••••••• | Jun 13, 2016 | Jul 15, 2016 | 32 | Firm change | Other |
| C••• F•••••••• S•••••••• L••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 31, 2014 | Dec 11, 2014 | 41 | Firm change | Other |
| H• B•••• I••• | C••• F•••••••• S•••••••• L••• | Dec 31, 2013 | Dec 9, 2013 | -22 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | H• B•••• I••• | Mar 30, 2010 | Feb 1, 2012 | 673 | Firm change after gap | Other |