DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at L•• F•••••••• L••
LAKE VILLA, IL
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 19, 2018 | n/a | yes | LAKE VILLA, IL | Current employment |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Dec 15, 2016 | Oct 29, 2018 | no | WAUCONDA, IL|WAUCONDA, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• A•••••• N••••••• L•• | L•• F•••••••• L•• | Oct 29, 2018 | Oct 19, 2018 | -10 | Bulk transfer | Ibd to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C••••• A•••••• N••••••• L•• | Dec 15, 2016 | Dec 15, 2016 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 10, 2011 | Dec 15, 2016 | no | DEER PARK, IL | Previous registration |
| E••••• J•••• | National bd RIA | Sep 24, 2009 | Jun 16, 2011 | no | LAKE BARRINGTON, IL|ALGONQUIN, IL|WAUCONDA, IL|ST LOUIS, MO | Previous registration |
| 0 |
| Firm change |
| Other |
| E••••• J•••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jun 16, 2011 | Jun 10, 2011 | -6 | Firm change | Ibd to wirehouse |