DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T• P•••••• C••••• W••••• L••
Manchester, NH | 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 |
|---|---|---|---|---|---|---|
| T• P•••••• C••••• W••••• L•• | Bd affiliated wealth | Dec 19, 2024 | n/a | yes | Manchester, NH|HARTFORD, CT | Current employment |
| F••••• I••••••••• | Independent wealth | Apr 12, 2024 | Dec 12, 2024 | no | West Hartford, CT|PLANO, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• I••••••••• | T• P•••••• C••••• W••••• L•• | Dec 12, 2024 | Dec 19, 2024 | 7 | Firm change | RIA to ibd |
| C•••••• S••••• • C••• I••• | F••••• I••••••••• | Apr 12, 2024 | Apr 12, 2024 |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | Apr 12, 2024 | no | West Hartford, CT | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 8, 2013 | Sep 7, 2023 | no | WEST HARTFORD, CT|STAMFORD, CT|Stamford, CT|West Hartford, CT | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jan 8, 2013 | Oct 14, 2022 | no | West Hartford, CT|STAMFORD, CT|West Hartford, CT | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Aug 22, 2011 | Jan 4, 2013 | no | WINDSOR, CT | Previous registration |
| G••••• P•••••••• S••••••••• I••• | Former SEC adviser | Mar 13, 2007 | Jul 26, 2011 | no | HARTFORD, CT | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Jun 1, 2006 | Feb 27, 2007 | no | WEST HARTFORD, CT | Previous registration |
| N••••••••• I••••••••• I••• | n/a | Jan 19, 2005 | May 16, 2006 | no | NEW HAVEN, CT | Previous registration |
| 0 |
| Firm change |
| Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 | -589 | Bulk transfer | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Jan 8, 2013 | -3,566 | Bulk transfer | Other |
| V••• F•••••••• A•••••••• I••• | T• A••••••••• I••• | Jan 4, 2013 | Jan 8, 2013 | 4 | Firm change | Other |
| G••••• P•••••••• S••••••••• I••• | V••• F•••••••• A•••••••• I••• | Jul 26, 2011 | Aug 22, 2011 | 27 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | G••••• P•••••••• S••••••••• I••• | Feb 27, 2007 | Mar 13, 2007 | 14 | Firm change | Other |
| N••••••••• I••••••••• I••• | C••••• I••••••••• S••••••• L•• | May 16, 2006 | Jun 1, 2006 | 16 | Firm change | Other |