DFX Intelligence
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Reading the graph
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Advisor at I••••••••• W••••• C••••••• L••
Severna Park, MD
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 |
|---|---|---|---|---|---|---|
| I••••••••• W••••• C••••••• L•• | Independent wealth | Oct 14, 2016 | n/a | yes | Severna Park, MD | Current employment |
| O•••• F•• I••• | Former SEC adviser | Jun 23, 2009 | Oct 28, 2016 | no | SEVERNA PARK, MD|GLASTONBURY, CT|SEVERNA PARK, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• F•• I••• | I••••••••• W••••• C••••••• L•• | Oct 28, 2016 | Oct 14, 2016 | -14 | Bulk transfer | Other |
| A••••••••• F•••••••• S•••••••• L•• | O•••• F•• I••• | Jun 16, 2009 | Jun 23, 2009 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 27, 1993 | Jun 16, 2009 | no | SEVERNA PARK, MD | Previous registration |
| 7 |
| Firm change |
| Other |