DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• 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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 24, 2022 | n/a | yes | NEENAH, WI|APPLETON, WI|GREEN BAY, WI|De Pere, WI | Current employment |
| H•••••• I••••••••• I••• | Independent wealth | May 7, 2015 | Jan 31, 2022 | no | DEPERE, WI|MADISON, WI|DEPERE, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••• I••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Jan 31, 2022 | Jan 24, 2022 | -7 | Firm change | RIA to ibd |
| L•• F•••••••• L•• | H•••••• I••••••••• I••• | May 12, 2015 | May 7, 2015 |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 7, 2013 | May 12, 2015 | no | GREEN BAY, WI|OCONTO, WI|STURGEON BAY, WI|ALGOMA, WI|GREEN BAY, WI|LENA, WI|OSHKOSH, WI|OMRO, WI|WINNECONNE, WI|WAUTOMA, WI | Previous registration |
| M••••• S•••••• | Wirehouse | Aug 19, 2011 | Oct 15, 2013 | no | Green Bay, WI | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 26, 2009 | Sep 6, 2011 | no | DE PERE, WI | Previous registration |
| -5 |
| Firm change |
| Other |
| M••••• S•••••• | L•• F•••••••• L•• | Oct 15, 2013 | Oct 7, 2013 | -8 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | M••••• S•••••• | Sep 6, 2011 | Aug 19, 2011 | -18 | Firm change | Other |