DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
ZIONSVILLE, IN | INDIANAPOLIS, IN
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•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Feb 28, 2017 | n/a | yes | INDIANAPOLIS, IN|ZIONSVILLE, IN | Current employment |
| C••• S••••••••• C••••••••• | Former SEC adviser | Apr 14, 2014 | Feb 28, 2017 | no | INDIANAPOLIS, IN|ZIONSVILLE, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••• S••••••••• C••••••••• | S•••••• N••••••• • C••••••• I••••••••• | Feb 28, 2017 | Feb 28, 2017 | 0 | Bulk transfer | Other |
| C••••• I••••••••• A••••••• L•• | C••• S••••••••• C••••••••• | Apr 11, 2014 | Apr 14, 2014 |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Apr 11, 2014 | no | SCHAUMBURG, IL | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Jun 18, 2010 | Jan 21, 2014 | no | INDIANAPOLIS, IN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Feb 22, 2006 | Dec 5, 2008 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN | Previous registration |
| 3 |
| Firm change |
| Other |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| A••••••••• F•••••••• S•••••••• L•• | C••••• I••••••••• S••••••• L•• | Dec 5, 2008 | Jun 18, 2010 | 560 | Firm change after gap | Other |