DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Northbrook, IL
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | n/a | yes | Northbrook, IL | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | May 17, 2006 | Sep 7, 2023 | no | NORTHBROOK, IL|Northbrook, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 | -589 | Bulk transfer | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | May 17, 2006 |
| T• A••••••••• I••• | Former SEC adviser | Sep 6, 2005 | Oct 14, 2022 | no | NORTHBROOK, IL|Northbrook, IL | Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Apr 14, 2003 | Aug 29, 2005 | no | NILES, IL | Previous registration |
| H••• B••••• C•••••• M••••••••• I••• | n/a | Feb 21, 2001 | Oct 31, 2002 | no | CHICAGO, IL | Previous registration |
| -5,994 |
| Bulk transfer |
| Other |
| E•••••• C•••••• M••••••••• L•• | T• A••••••••• I••• | Aug 29, 2005 | Sep 6, 2005 | 8 | Firm change | Other |
| H••• B••••• C•••••• M••••••••• I••• | E•••••• C•••••• M••••••••• L•• | Oct 31, 2002 | Apr 14, 2003 | 165 | Firm change | Other |