DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••••••••• B•••••••• S•••••••• I•••
••• Locked
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 |
|---|---|---|---|---|---|---|
| P••••••••• B•••••••• S•••••••• I••• | Independent wealth | Oct 20, 2014 | n/a | yes | Freeport, IL|GREEN BAY, WI|Dixon, IL|Rockford, IL|Sterling, IL | Current employment |
| I•••••••• A•••••••• L•• | Bd affiliated wealth | Dec 13, 2010 | Oct 17, 2014 | no | DIXON, IL|Urbandale, IA|DIXON, IL|POPLAR GROVE, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I•••••••• A•••••••• L•• | P••••••••• B•••••••• S•••••••• I••• | Oct 17, 2014 | Oct 20, 2014 | 3 | Firm change | Other |
| S•••••••• F••••••••• I••• | I•••••••• A•••••••• L•• | Sep 30, 2009 | Dec 13, 2010 |
| Previous registration |
| S•••••••• F••••••••• I••• | Former SEC adviser | Oct 31, 2008 | Sep 30, 2009 | no | DIXON, IL | Previous registration |
| A••••••• G•••••• S••••••••• I••••••••• | n/a | Jul 24, 2006 | Oct 31, 2008 | no | DIXON, IL | Previous registration |
| M•••••• C•••••• M••••••••• I••• | Former SEC adviser | May 12, 2003 | Sep 24, 2003 | no | ELGIN, IL | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Jun 15, 2001 | Apr 30, 2003 | no | DIXON, IL | Previous registration |
| 439 |
| Firm change after gap |
| Other |
| A••••••• G•••••• S••••••••• I••••••••• | S•••••••• F••••••••• I••• | Oct 31, 2008 | Oct 31, 2008 | 0 | Bulk transfer | Other |
| M•••••• C•••••• M••••••••• I••• | A••••••• G•••••• S••••••••• I••••••••• | Sep 24, 2003 | Jul 24, 2006 | 1,034 | Firm change after gap | Other |
| P•••• S••••••••• L•• | M•••••• C•••••• M••••••••• I••• | Apr 30, 2003 | May 12, 2003 | 12 | Firm change | Other |