DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | May 3, 2022 | n/a | yes | CINCINNATI, OH | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 15, 2018 | May 2, 2022 | no | CINCINNATI, OH|FORT MITCHELL, KY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | May 2, 2022 | May 3, 2022 | 1 | Firm change | Wirehouse to wirehouse |
| F••••••• P••••••• A•• W•••••••• A••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Aug 13, 2018 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Aug 13, 2018 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 14, 2012 | Jul 13, 2018 | no | CHARLOTTE, NC|HILTON HEAD ISLAND, SC|COVINGTON, KY | Previous registration |
| 2 |
| Firm change |
| Ibd to wirehouse |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |