DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Tampa, FL | CLEARWATER, 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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 20, 2017 | n/a | yes | CLEARWATER, FL|Tampa, FL | Current employment |
| D••••• W••••• M••••••••• | Independent wealth | Dec 21, 2016 | Sep 14, 2017 | no | TAMPA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••••• W••••• M••••••••• | A••••••••• F•••••••• S•••••••• L•• | Sep 14, 2017 | Sep 20, 2017 | 6 | Firm change | Other |
| N••••••••• M••••• I••••••••• S••••••••• | D••••• W••••• M••••••••• | Sep 14, 2016 | Dec 21, 2016 |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Feb 3, 2015 | Sep 14, 2016 | no | TAMPA, FL|ST PETERSBURG, FL | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Dec 2, 2011 | Jun 17, 2013 | no | ST. PETERSBURG, FL|JACKSONVILLE, FL | Previous registration |
| 98 |
| Firm change |
| Other |
| R•••••• J•••• • A••••••••• I••• | N••••••••• M••••• I••••••••• S••••••••• | Jun 17, 2013 | Feb 3, 2015 | 596 | Firm change after gap | Other |