DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••• I••••• S••••••••• L••
••• Locked
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•••• I••••• S••••••••• L•• | Independent wealth | May 28, 2015 | n/a | yes | FORT LAUDERDALE, FL|Madison, WI|Crystal Lake, IL | Current employment |
| F•••• T•••• S••••••••• I••• | Bd affiliated wealth | Oct 28, 2006 | May 2, 2008 | no | CARY, IL|CRYSTAL LAKE, IL|ALGONQUIN, IL|WOODSTOCK, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• T•••• S••••••••• I••• | S•••• I••••• S••••••••• L•• | May 2, 2008 | May 28, 2015 | 2,582 | Firm change after gap | Other |
| B•• H••••• F•••••••• A•••••••• I•• | F•••• T•••• S••••••••• I••• | Oct 19, 2006 | Oct 28, 2006 |
| Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | May 16, 2006 | Oct 19, 2006 | no | CRYSTAL LAKE, IL|BARRINGTON, IL | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Dec 14, 2005 | Mar 10, 2006 | no | WOODSTOCK, IL | Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Jan 10, 2005 | Dec 31, 2005 | no | WOODSTOCK, IL | Previous registration |
| 9 |
| Firm change |
| Other |
| E•••••• C•••••• M••••••••• L•• | B•• H••••• F•••••••• A•••••••• I•• | Dec 31, 2005 | Dec 14, 2005 | -17 | Bulk transfer | Other |