DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
BOCA RATON, FL | Boca Raton, FL
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 22, 2019 | n/a | yes | BOCA RATON, FL|Boca Raton, FL | Current employment |
| O••••••••• • C•• I••• | Bd affiliated wealth | May 1, 2014 | Dec 2, 2019 | no | BOCA RATON, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••••••• • C•• I••• | A••••••••• F•••••••• S•••••••• L•• | Dec 2, 2019 | Nov 22, 2019 | -10 | Firm change | Ibd to ibd |
| N••• C••••••••• | O••••••••• • C•• I••• | Mar 20, 2014 | May 1, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 249:6363:FL:2019-12-02 | Dec 2, 2019 | Nov 22, 2019 | BOCA RATON, FL | Firm change |
| N••• C••••••••• | Bd affiliated wealth | Oct 24, 2005 | Mar 20, 2014 | no | BOCA RATON, FL|BOCA RATON, FL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | May 24, 2005 | no | BOCA RATON, FL | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Jul 10, 2000 | Jul 1, 2003 | no | BOCA RATON, FL | Previous registration |
| 42 |
| Firm change |
| Other |
| W•••• F•••• A••••••• | N••• C••••••••• | May 24, 2005 | Oct 24, 2005 | 153 | Firm change | Other |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |