DFX Intelligence
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Reading the graph
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Advisor at SPC
MELBOURNE, FL | ANN ARBOR, MI
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•• | Bd affiliated wealth | Apr 30, 2013 | n/a | yes | MELBOURNE, FL|ANN ARBOR, MI | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 15, 2010 | Apr 17, 2013 | no | MELBOURNE, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | S•• | Apr 17, 2013 | Apr 30, 2013 | 13 | Firm change | Other |
| S••••• F•••••••• G•••• I•• | A••••••••• F•••••••• S•••••••• L•• | Jul 27, 2010 | Jul 15, 2010 |
| S••••• F•••••••• G•••• I•• | Former SEC adviser | Jan 23, 2008 | Jul 27, 2010 | no | COCOA, FL | Previous registration |
| M•••••• A•••• P••••••••• L•• | Independent wealth | Aug 24, 2007 | Jan 18, 2008 | no | ROCHESTER, MI | Previous registration |
| A••••••••• A•••••• S•••••••• I••• | n/a | Oct 2, 2003 | Feb 2, 2006 | no | MERRITT ISLAND, FL | Previous registration |
| -12 |
| Firm change |
| Other |
| M•••••• A•••• P••••••••• L•• | S••••• F•••••••• G•••• I•• | Jan 18, 2008 | Jan 23, 2008 | 5 | Firm change | Other |
| A••••••••• A•••••• S•••••••• I••• | M•••••• A•••• P••••••••• L•• | Feb 2, 2006 | Aug 24, 2007 | 568 | Firm change after gap | Other |