DFX Intelligence
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Reading the graph
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Advisor at W•••••••
HARLEYSVILLE, PA
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 |
|---|---|---|---|---|---|---|
| W••••••• | Independent wealth | Sep 8, 2017 | n/a | yes | HARLEYSVILLE, PA | Current employment |
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Sep 14, 2015 | Sep 14, 2017 | no | PRINCETON, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | W••••••• | Sep 14, 2017 | Sep 8, 2017 | -6 | Firm change | Ibd to new firm |
| U•••••• I••••••••• I••• | G••••• A••••••• S•••••••• L•• | Aug 5, 2015 | Mar 16, 2015 |
| G••••• A••••••• S•••••••• L•• | Independent wealth | Mar 16, 2015 | Aug 5, 2015 | no | SOUDERTON, PA | Previous registration |
| U•••••• I••••••••• I••• | Former SEC adviser | Dec 23, 2014 | Aug 5, 2015 | no | SOUDERTON, PA | Previous registration |
| -142 |
| Firm change after gap |
| Other |
| G••••• A••••••• S•••••••• L•• | S•••••• N••••••• • C••••••• I••••••••• | Aug 5, 2015 | Sep 14, 2015 | 40 | Firm change | Other |