DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
WATERBURY, CT
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 10, 2024 | n/a | yes | WATERBURY, CT | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 5, 2021 | Jun 10, 2024 | no | WATERBURY, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | L•• F•••••••• L•• | Jun 10, 2024 | Jun 10, 2024 | 0 | Firm change | Ibd to ibd |
| A••••••••• F•••••••• S•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Jan 8, 2021 | Jan 5, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:6413:CT:2024-06-10 | Jun 10, 2024 | Jun 10, 2024 | WATERBURY, CT | Firm change |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 21, 2013 | Jan 8, 2021 | no | SIMSBURY, CT | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 24, 2009 | Jul 2, 2013 | no | STAMFORD, CT|MILFORD, CT | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 27, 2005 | Feb 11, 2009 | no | SHELTON, CT|SHELTON, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jun 25, 2004 | Apr 15, 2005 | no | SHELTON, CT | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Nov 29, 2001 | Sep 8, 2003 | no | SHELTON, CT | Previous registration |
| -3 |
| Firm change |
| Ibd to ibd |
| E•••••••• A•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Jul 2, 2013 | Jun 21, 2013 | -11 | Firm change | Ibd to ibd |
| M•• F•••••••• S•••••••• I••• | E•••••••• A•••••••• L•• | Feb 11, 2009 | Apr 24, 2009 | 72 | Firm change | Other |
| W•••• F•••• A••••••• | M•• F•••••••• S•••••••• I••• | Apr 15, 2005 | Oct 27, 2005 | 195 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | W•••• F•••• A••••••• | Sep 8, 2003 | Jun 25, 2004 | 291 | Firm change | Other |