DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
SPRINGFIELD, OH
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 | Feb 14, 2018 | n/a | yes | SPRINGFIELD, OH | Current employment |
| S•• I••••••••• I••• | Former SEC adviser | Dec 20, 2010 | Feb 15, 2018 | no | SPRINGFIELD, OH|APPLETON, WI|SPRINGFIELD, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• I••••••••• I••• | L•• F•••••••• L•• | Feb 15, 2018 | Feb 14, 2018 | -1 | Bulk transfer | Ibd to RIA |
| N••• F•••••••• G••••• I••• | S•• I••••••••• I••• | Dec 17, 2010 | Dec 20, 2010 |
| N••• F•••••••• G••••• I••• | Former SEC adviser | May 17, 2006 | Dec 17, 2010 | no | SPRINGFIELD, OH|SPRINGFIELD, OH | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Jun 28, 2005 | Apr 17, 2006 | no | SPRINGFIELD, OH | Previous registration |
| F•••••••• D•••••• • S•••••• C••• L•• | n/a | Oct 12, 2004 | Jul 6, 2005 | no | SPRINGFIELD, OH | Previous registration |
| Firm change |
| Other |
| N•• E•••••• S••••••••• C••••••••• | N••• F•••••••• G••••• I••• | Apr 17, 2006 | May 17, 2006 | 30 | Firm change | Other |
| F•••••••• D•••••• • S•••••• C••• L•• | N•• E•••••• S••••••••• C••••••••• | Jul 6, 2005 | Jun 28, 2005 | -8 | Firm change | Other |