DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••• P•••••••
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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 |
|---|---|---|---|---|---|---|
| S••••••• P••••••• | Independent wealth | Nov 29, 2024 | n/a | yes | PINELLAS PARK, FL|WARRINGTON, PA|GLASTONBURY, CT | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 24, 2024 | no | BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S••••••• P••••••• | Sep 24, 2024 | Nov 29, 2024 | 66 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Jun 1, 2012 | Jul 13, 2018 | no | PRINCETON, NJ|WARRINGTON, PA | Previous registration |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | May 3, 2007 | May 23, 2012 | no | LANCASTER, PA|FURLONG, PA|Exton, PA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 31, 2000 | Mar 20, 2007 | no | MINNEAPOLIS, MN|CHICAGO, IL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| T••••••• I••••••••• M••••••••• I••• | S•••••••• A••••••• L•• | May 23, 2012 | Jun 1, 2012 | 9 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | T••••••• I••••••••• M••••••••• I••• | Mar 20, 2007 | May 3, 2007 | 44 | Firm change | Other |