DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
MERRIMACK, NH | NASHUA, NH
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | NASHUA, NH|MERRIMACK, NH | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|MERRIMACK, NH|NASHUA, NH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Apr 7, 2016 | Jul 13, 2018 | no | MERRIMACK, NH | Previous registration |
| M•••••• | Independent wealth | Feb 5, 2013 | Nov 20, 2013 | no | OVERLAND PARK,, KS | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Nov 20, 2012 | Nov 18, 2013 | no | BOSTON, MA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| M•••••• | S•••••••• A••••••• L•• | Nov 20, 2013 | Apr 7, 2016 | 869 | Firm change after gap | Other |
| N•• E•••••• S••••••••• C••••••••• | M•••••• | Nov 18, 2013 | Feb 5, 2013 | -286 | Firm change after gap | Other |