DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••• S••••••••• L••
ESTERO, 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 |
|---|---|---|---|---|---|---|
| E•••• S••••••••• L•• | Bd affiliated wealth | Nov 30, 2015 | n/a | yes | ESTERO, FL | Current employment |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Jun 9, 2011 | Oct 24, 2014 | no | TOWSON, MD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••• T••••••• • K•••• L•• | E•••• S••••••••• L•• | Oct 24, 2014 | Nov 30, 2015 | 402 | Firm change after gap | Other |
| S••••• F•••••••• S•••••••• I••• | H•••••• T••••••• • K•••• L•• | Jun 8, 2011 | Jun 9, 2011 |
| S••••• F•••••••• S•••••••• I••• | Former SEC adviser | May 14, 2010 | Jun 8, 2011 | no | TIMONIUM, MD|KANSAS CITY, MO|TIMONIUM, MD | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 14, 2010 | Apr 7, 2010 | no | TIMONIUM, MD|LUTHERVILLE, MD|ST PAUL, MN | Previous registration |
| E•• F•••••••• A••••••• | Independent wealth | Feb 14, 2003 | Jun 10, 2009 | no | TIMONIUM, MD|PORTLAND, ME | Previous registration |
| 1 |
| Firm change |
| Other |
| S••••••• F•••••••• S•••••••• I••• | S••••• F•••••••• S•••••••• I••• | Apr 7, 2010 | May 14, 2010 | 37 | Firm change | Other |
| E•• F•••••••• A••••••• | S••••••• F•••••••• S•••••••• I••• | Jun 10, 2009 | Jan 14, 2010 | 218 | Firm change | Other |