DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 17, 2022 | n/a | yes | Holyoke, MA|Feeding Hills, MA|Agawam, MA|SPRINGFIELD, MA|WEST SPRINGFIELD, MA|WESTFIELD, MA|TOLLAND, CT|LUDLOW, MA|SPRINGFIELD, MA|WEST SPRINGFIELD, MA | Current employment |
| P••••••• U••••• A•••••••• I••• | Former SEC adviser | May 21, 2018 | Aug 17, 2022 | no |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••• U••••• A•••••••• I••• | L•• F•••••••• L•• | Aug 17, 2022 | Aug 17, 2022 | 0 | Bulk transfer | RIA to RIA |
| P••••••• S••••••••• I••• | P••••••• U••••• A•••••••• I••• | Mar 31, 2020 | May 21, 2018 |
| Previous registration |
| P••••••• S••••••••• I••• | Former SEC adviser | Sep 18, 2009 | Mar 31, 2020 | no | SPRINGFIELD, MA|AMHERST, MA|SPRINGFIELD, MA|SPRINGFIELD, MA|SHELBURNE FALLS, MA|NORTHAMPTON, MA|HOLYOKE, MA|HAYDENVILLE, MA|HATFIELD, MA|GREENFIELD, MA|GREENFIELD, MA|SOUTH DEERFIELD, MA|BRIDGEPORT, CT|BRIDGEPORT, CT|WINDSOR, CT|Holyoke, MA|Holyoke, MA|EAST LONGMEADOW, MA|Westfield, MA|Feeding Hills, MA|Agawam, MA | Previous registration |
| C••••••••• S••••••••• L••• | n/a | Sep 3, 2008 | Nov 19, 2009 | no | SPRINGFIELD, MA|SPRINGFIELD, MA|SPRINGFIELD, MA | Previous registration |
| -680 |
| Bulk transfer |
| Other |
| C••••••••• S••••••••• L••• | P••••••• S••••••••• I••• | Nov 19, 2009 | Sep 18, 2009 | -62 | Firm change after gap | Other |