DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••• F•••• A•••••••
CINCINNATI, OH | MIAMISBURG, OH
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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | May 18, 2022 | n/a | yes | CINCINNATI, OH|MIAMISBURG, OH | Current employment |
| N••••• A•••• M••••••••• L•• | Mixed wealth | Jan 10, 2012 | Aug 7, 2020 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••• A•••• M••••••••• L•• | W•••• F•••• A••••••• | Aug 7, 2020 | May 18, 2022 | 649 | Firm change after gap | RIA to wirehouse |
| T•• J••••• G•••• C•••••• M••••••••• | N••••• A•••• M••••••••• L•• | Jan 20, 2012 | Jan 10, 2012 |
| T•• J••••• G•••• C•••••• M••••••••• | Former SEC adviser | Jan 10, 2005 | Jan 20, 2012 | no | COLUMBUS, OH|COLUMBUS, OH | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 17, 2003 | Jul 9, 2004 | no | DUBLIN, OH | Previous registration |
| -10 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | T•• J••••• G•••• C•••••• M••••••••• | Jul 9, 2004 | Jan 10, 2005 | 185 | Firm change | Other |