DFX Intelligence
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Reading the graph
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Advisor at D••••• W•••••• L••
PALM BEACH GARDENS, FL | Mansfield, MA
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 |
|---|---|---|---|---|---|---|
| D••••• W•••••• L•• | Independent wealth | Jan 2, 2024 | n/a | yes | Mansfield, MA|PALM BEACH GARDENS, FL | Current employment |
| C•• W••••• M••••••••• L•• | Independent wealth | Nov 9, 2016 | Jan 18, 2024 | no | SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•• W••••• M••••••••• L•• | D••••• W•••••• L•• | Jan 18, 2024 | Jan 2, 2024 | -16 | Firm change | RIA to RIA |
| L•• F•••••••• L•• | C•• W••••• M••••••••• L•• | Nov 30, 2016 | Nov 9, 2016 |
| L•• F•••••••• L•• | Bd affiliated wealth | May 31, 2011 | Nov 30, 2016 | no | MANSFIELD, MA|MANSFIELD, MA|MOORESVILLE, NC | Previous registration |
| O•••• F•• I••• | Former SEC adviser | May 14, 2004 | Jun 1, 2011 | no | BOSTON, MA|BOSTON, MA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 23, 2002 | May 26, 2004 | no | WELLESLEY, MA | Previous registration |
| Firm change |
| Other |
| O•••• F•• I••• | L•• F•••••••• L•• | Jun 1, 2011 | May 31, 2011 | -1 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | O•••• F•• I••• | May 26, 2004 | May 14, 2004 | -12 | Firm change | Other |