DFX Intelligence
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Reading the graph
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Advisor at T••••• A••••••• S•••••••• I•••
SARASOTA, 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 |
|---|---|---|---|---|---|---|
| T••••• A••••••• S•••••••• I••• | Bd affiliated wealth | Mar 2, 2021 | n/a | yes | SARASOTA, FL | Current employment |
| B••• S••••••••• L•• | Former SEC adviser | Jan 2, 2018 | Mar 2, 2021 | no | LANCASTER, PA|CHARLOTTE, NC|SARASOTA, FL|RICHMOND, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••• S••••••••• L•• | T••••• A••••••• S•••••••• I••• | Mar 2, 2021 | Mar 2, 2021 | 0 | Bulk transfer | Ibd to ibd |
| B••• I••••••••• S•••••••• I••• | B••• S••••••••• L•• | Jan 2, 2018 | Jan 2, 2018 |
| B••• I••••••••• S•••••••• I••• | Former SEC adviser | Aug 27, 2012 | Jan 2, 2018 | no | CHARLOTTE, NC|LAUREL, MD|COLUMBIA, MD|LANCASTER, PA|LITITZ, PA | Previous registration |
| M•• S••••••••• I••• | n/a | Jul 27, 2010 | Aug 21, 2012 | no | PHEONIX, MD|BALTIMORE, MD|HUNT VALLEY, MD|TIMONIUM, MD|TIMONIUM, MD|TOWSON, MD|COCKEYSVILLE, MD|COCKEYSVILLE, MD|PARKTON, MD|LUTHERVILLE, MD | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Apr 30, 2009 | Jul 16, 2010 | no | EAST BRUNSWICK, NJ | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 15, 2007 | Apr 23, 2009 | no | ELKRIDGE, MD | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| M•• S••••••••• I••• | B••• I••••••••• S•••••••• I••• | Aug 21, 2012 | Aug 27, 2012 | 6 | Firm change | Other |
| P•••• S••••••••• L•• | M•• S••••••••• I••• | Jul 16, 2010 | Jul 27, 2010 | 11 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | P•••• S••••••••• L•• | Apr 23, 2009 | Apr 30, 2009 | 7 | Firm change | Other |