DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••••••••• C•••••• A•••••••
••• 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 |
|---|---|---|---|---|---|---|
| P••••••••• C•••••• A••••••• | Independent wealth | Feb 21, 2012 | n/a | yes | WESTLAKE, OH|Fremont, OH|Avon, OH | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | Feb 28, 2012 | no | WESTLAKE, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | P••••••••• C•••••• A••••••• | Feb 28, 2012 | Feb 21, 2012 | -7 | Firm change | Other |
| M••••• S•••••• C••••••••• | L•• F•••••••• L•• | Sep 8, 2009 | Sep 8, 2009 |
| M••••• S•••••• C••••••••• | n/a | Dec 7, 2004 | Sep 8, 2009 | no | BOSTON, MA|WESTLAKE, OH | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Sep 12, 2002 | Dec 1, 2004 | no | SOLON, OH | Previous registration |
| Bulk transfer |
| Other |
| O•••• F•• I••• | M••••• S•••••• C••••••••• | Dec 1, 2004 | Dec 7, 2004 | 6 | Firm change | Other |