DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• A••••••• C•••••••••
INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| C•••••• A••••••• C••••••••• | Independent wealth | Jul 9, 2015 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| K••••• A•••••••• I••• | Bd affiliated wealth | Oct 24, 2011 | Jun 3, 2015 | no | FT. LAUDERDALE, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A•••••••• I••• | C•••••• A••••••• C••••••••• | Jun 3, 2015 | Jul 9, 2015 | 36 | Firm change | Other |
| L••••• A•••••••• L•• | K••••• A•••••••• I••• | Oct 12, 2011 | Oct 24, 2011 |
| L••••• A•••••••• L•• | Former SEC adviser | Mar 18, 2011 | Oct 12, 2011 | no | PALM BEACH GARDENS, FL|PALM BEACH GARDENS, FL | Previous registration |
| M••••• S•••••• C••••••••• | n/a | Oct 8, 2007 | Oct 13, 2009 | no | BOSTON, MA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 6, 2004 | Jun 16, 2006 | no | BOCA RATON, FL|BOCA RATON, FL | Previous registration |
| Firm change |
| Other |
| M••••• S•••••• C••••••••• | L••••• A•••••••• L•• | Oct 13, 2009 | Mar 18, 2011 | 521 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | M••••• S•••••• C••••••••• | Jun 16, 2006 | Oct 8, 2007 | 479 | Firm change after gap | Other |