DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•• I•••••••• S•••••••• L••
FT PIERCE, FL
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 |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Nov 7, 2022 | n/a | yes | FT PIERCE, FL | Current employment |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | NASHUA, NH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• | M•• F•••••••• S•••••••• I••• | Apr 5, 2018 | Jan 2, 2015 | -1,189 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Nov 7, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151664:14251:KS:2018-04-05 | Apr 5, 2018 | Jan 2, 2015 | OVERLAND PARK,, KS | Firm change after gap |
| 615:151664:NH:2015-01-02 | Jan 2, 2015 | Sep 7, 2010 | MANCHESTER, NH | Firm change after gap |
| M•••••• | Independent wealth | Sep 7, 2010 | Apr 5, 2018 | no | OVERLAND PARK,, KS | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Jun 29, 2004 | Jan 2, 2015 | no | AMHERST, NH|AMHERST, NH|AMHERST, NH|MANCHESTER, NH|NASHUA, NH|MANCHESTER, NH | Previous registration |
| 2,053 |
| Bulk transfer |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•••••• | Jan 2, 2015 | Sep 7, 2010 | -1,578 | Firm change after gap | Other |