DFX Intelligence
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Reading the graph
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Advisor at W•••• F•••• A•••••••
••• 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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Jun 16, 2023 | n/a | yes | EAST HAVEN, CT|NEW HAVEN, CT|WEST HAVEN, CT|TRUMBULL, CT|PURCHASE, NY | Current employment |
| K•• I••••••••• S••••••• L•• | Bd affiliated wealth | Aug 29, 2018 | Jun 16, 2023 | no | MANCHESTER, CT|Guilford, CT|Cohoes, NY|BROOKLYN, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K•• I••••••••• S••••••• L•• | W•••• F•••• A••••••• | Jun 16, 2023 | Jun 16, 2023 | 0 | Firm change | Ibd to wirehouse |
| C••••••• S••••••••• I••• | K•• I••••••••• S••••••• L•• | Aug 9, 2018 | Aug 29, 2018 |
| Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Nov 9, 2017 | Aug 9, 2018 | no | CRANSTON, RI|DEEP RIVER, CT|DEEP RIVER, CT | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Mar 21, 2003 | Jun 2, 2004 | no | NEW HAVEN, CT | Previous registration |
| P•••••• A••••••• S••••••• I•• | n/a | Mar 27, 2000 | Mar 27, 2003 | no | NEW HAVEN, CT | Previous registration |
| 20 |
| Firm change |
| Ibd to ibd |
| O•••• F•• I••• | C••••••• S••••••••• I••• | Jun 2, 2004 | Nov 9, 2017 | 4,908 | Firm change after gap | Other |
| P•••••• A••••••• S••••••• I•• | O•••• F•• I••• | Mar 27, 2003 | Mar 21, 2003 | -6 | Firm change | Other |