DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• M••••••••• L••
OVIEDO, FL
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••••• W••••• M••••••••• L•• | State registered | Aug 13, 2021 | n/a | yes | OVIEDO, FL | Current employment |
| S••••• W••••• A•••••••• I••• | No RAUM reported | Mar 4, 2015 | Jan 11, 2019 | no | ORLANDO, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | S••••• W••••• M••••••••• L•• | Jan 11, 2019 | Aug 13, 2021 | 945 | Firm change after gap | Ibd to state RIA |
| E•••••• C•••••• M••••••••• L•• | S••••• W••••• A•••••••• I••• | Feb 20, 2015 | Mar 4, 2015 |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Dec 13, 2012 | Feb 20, 2015 | no | ORLANDO, FL|ARLINGTON, VA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jun 6, 2011 | Nov 26, 2012 | no | Winter Park, FL | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 2, 2008 | May 31, 2011 | no | ORLANDO, FL | Previous registration |
| 12 |
| Firm change |
| Other |
| U•• F•••••••• S••••••• I••• | E•••••• C•••••• M••••••••• L•• | Nov 26, 2012 | Dec 13, 2012 | 17 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | May 31, 2011 | Jun 6, 2011 | 6 | Firm change | Wirehouse to wirehouse |