DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at RETIREMENT AND WEALTH AT ALLIANT, LLC
WAYNE, PA
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 |
|---|---|---|---|---|---|---|
| RETIREMENT AND WEALTH AT ALLIANT, LLC | Institutional manager | Jul 11, 2013 | n/a | yes | WAYNE, PA | Current employment |
| JAMES E.BASHAW & CO. | n/a | Jun 24, 2010 | Jul 10, 2013 | no | HOUSTON, TX | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Dec 23, 2009 | Aug 1, 2017 | no | ALPHARETTA, GA|RICHMOND, TX|ALPHARETTA, GA | Previous registration |
| NFP ADVISOR SERVICES, LLC | Former SEC adviser | Oct 18, 2007 | Dec 17, 2009 | no | AUSTIN, TX|ALPHARETTA, GA | Previous registration |
| MMC SECURITIES LLC | Former SEC adviser | Jun 3, 2004 | Oct 2, 2007 | no | ATLANTA, GA|ATLANTA, GA | Previous registration |
| USI ADVISORS | Institutional manager | Jan 23, 2003 | May 7, 2004 | no | n/a | Previous registration |
| HRH INVESTMENT ADVISORS, LLC | n/a | Jul 10, 2002 | Aug 7, 2002 | no | NORCROSS, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | JAMES E.BASHAW & CO. | Aug 1, 2017 | Jun 24, 2010 | -2,595 | Firm change after gap | Other |
| JAMES E.BASHAW & CO. | RETIREMENT AND WEALTH AT ALLIANT, LLC | Jul 10, 2013 | Jul 11, 2013 | 1 | Firm change | Other |
| NFP ADVISOR SERVICES, LLC | LPL FINANCIAL LLC | Dec 17, 2009 | Dec 23, 2009 | 6 | Firm change | Other |
| MMC SECURITIES LLC | NFP ADVISOR SERVICES, LLC | Oct 2, 2007 | Oct 18, 2007 | 16 | Firm change | Other |
| USI ADVISORS | MMC SECURITIES LLC | May 7, 2004 | Jun 3, 2004 | 27 | Firm change | Other |
| HRH INVESTMENT ADVISORS, LLC | USI ADVISORS | Aug 7, 2002 | Jan 23, 2003 | 169 | Firm change | Other |