DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
ST. LOUIS, MO
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 |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Feb 5, 2018 | n/a | yes | ST. LOUIS, MO | Current employment |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Apr 11, 2017 | Jan 5, 2018 | no | SAINT LOUIS, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• M••••••••• | S•••••• N••••••• • C••••••• I••••••••• | Jan 5, 2018 | Feb 5, 2018 | 31 | Firm change | Ibd to ibd |
| W•••• F•••• A••••••• | S•••••••• I••••••••• M••••••••• | Apr 29, 2014 | Apr 11, 2017 |
| W•••• F•••• A••••••• | Wirehouse | Jun 19, 2012 | Apr 29, 2014 | no | ST. LOUIS, MO | Previous registration |
| M••••• O• O•••• I••••••• S•••••••• I••• | Independent wealth | Apr 12, 2011 | Dec 31, 2011 | no | O'FALLON, MO|SPRINGFIELD, MO | Previous registration |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | Oct 15, 2007 | Jan 7, 2011 | no | ST LOUIS, MO|St Charles, MO|CHESTERFIELD, MO|ST LOUIS, MO | Previous registration |
| 1,078 |
| Firm change after gap |
| Other |
| M••••• O• O•••• I••••••• S•••••••• I••• | W•••• F•••• A••••••• | Dec 31, 2011 | Jun 19, 2012 | 171 | Firm change | Other |
| T••••••• I••••••••• M••••••••• I••• | M••••• O• O•••• I••••••• S•••••••• I••• | Jan 7, 2011 | Apr 12, 2011 | 95 | Firm change | Other |