DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••• F•••• A•••••••
CHARLOTTE, NC | ST. LOUIS, MO
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 | Feb 18, 2020 | n/a | yes | CHARLOTTE, NC|ST. LOUIS, MO | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Feb 15, 2019 | Feb 25, 2020 | no | Brookfield, WI|Mequon, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | W•••• F•••• A••••••• | Feb 25, 2020 | Feb 18, 2020 | -7 | Firm change | Ibd to wirehouse |
| A•••••••• F•••• M••••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Nov 1, 2018 | Feb 15, 2019 |
| A•••••••• F•••• M••••••••• L•• | Asset manager | Jul 18, 2017 | Nov 1, 2018 | no | Menomonee Falls, WI | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Oct 16, 2014 | Jun 14, 2017 | no | Milwaukee, WI | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jan 14, 2013 | Sep 18, 2014 | no | MILWAUKEE, WI | Previous registration |
| 106 |
| Firm change |
| Other |
| B•• H••••• F•••••••• A•••••••• I•• | A•••••••• F•••• M••••••••• L•• | Jun 14, 2017 | Jul 18, 2017 | 34 | Firm change | Other |
| E•••••••• A•••••••• L•• | B•• H••••• F•••••••• A•••••••• I•• | Sep 18, 2014 | Oct 16, 2014 | 28 | Firm change | Other |