DFX Intelligence
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Reading the graph
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Advisor at R•••••• W••••• M••••••••• L••
GREEN BAY, WI
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 |
|---|---|---|---|---|---|---|
| R•••••• W••••• M••••••••• L•• | State registered | Jan 1, 2025 | n/a | yes | GREEN BAY, WI | Current employment |
| S•••••••• W••••• M••••••••• | Former SEC adviser | Feb 2, 2022 | Jun 27, 2022 | no | MINOCQUA, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• W••••• M••••••••• | R•••••• W••••• M••••••••• L•• | Jun 27, 2022 | Jan 1, 2025 | 919 | Firm change after gap | RIA to state RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• W••••• M••••••••• | Feb 1, 2022 | Feb 2, 2022 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Mar 27, 2019 | Feb 1, 2022 | no | GREEN BAY, WI | Previous registration |
| E••••• J•••• | National bd RIA | Oct 21, 2016 | Mar 28, 2019 | no | Green Bay, WI|ST LOUIS, MO|GREEN BAY, WI|GREEN BAY, WI | Previous registration |
| 1 |
| Firm change |
| Wirehouse to RIA |
| E••••• J•••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Mar 28, 2019 | Mar 27, 2019 | -1 | Firm change | Ibd to wirehouse |