DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Bay City, MI | SAGINAW, MI
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 20, 2024 | n/a | yes | SAGINAW, MI|Bay City, MI | Current employment |
| R••••• W• B•••• • C•• I••••••••• | Mixed wealth | Oct 18, 2019 | Sep 25, 2024 | no | Saginaw, MI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R••••• W• B•••• • C•• I••••••••• | A••••••••• F•••••••• S•••••••• L•• | Sep 25, 2024 | Sep 20, 2024 | -5 | Firm change | RIA to ibd |
| J••••• H•••••••• W••• L••••• L•• | R••••• W• B•••• • C•• I••••••••• | Oct 18, 2019 | Oct 18, 2019 |
| J••••• H•••••••• W••• L••••• L•• | Former SEC adviser | Aug 3, 2017 | Oct 18, 2019 | no | SAGINAW, MI | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Sep 1, 2010 | Jul 10, 2017 | no | SAGINAW, MI | Previous registration |
| 0 |
| Bulk transfer |
| RIA to RIA |
| R•••••• J•••• • A••••••••• I••• | J••••• H•••••••• W••• L••••• L•• | Jul 10, 2017 | Aug 3, 2017 | 24 | Firm change | Other |