DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
MIDLOTHIAN, VA
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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Aug 10, 2023 | n/a | yes | MIDLOTHIAN, VA | Current employment |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | May 18, 2020 | Aug 10, 2023 | no | MIDLOTHIAN, VA|ST. PAUL, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• F•••••••• S•••••••• I••• | C••••• I••••••••• A••••••• L•• | Aug 10, 2023 | Aug 10, 2023 | 0 | Bulk transfer | RIA to ibd |
| C••••• I••••••••• S••••••• L•• | S••••••• F•••••••• S•••••••• I••• | Apr 1, 2010 | May 18, 2020 |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Feb 2, 2010 | Apr 1, 2010 | no | MECHANICSVILLE, VA | Previous registration |
| U•••• F•••••••• S••••••• G••••• I••• | n/a | Nov 17, 2008 | Feb 2, 2010 | no | ASHLAND, VA|CHESTER, VA|CHESTERFIELD, VA|HENRICO, VA|HENRICO, VA|MECHANICSVILLE, VA|MECHANICSVILLE, VA|MIDLOTHIAN, VA|MIDLOTHIAN, VA|MIDLOTHIAN, VA|RICHMOND, VA|POWHATAN, VA|MECHANICSVILLE, VA|CHARLOTTE, NC|HENRICO, VA | Previous registration |
| Q•• F•••••••• L•• | n/a | Nov 28, 2007 | Oct 31, 2008 | no | MECHANICSVILLE, VA|OMAHA, NE | Previous registration |
| U•••• F•••••••• S••••••• G••••• I••• | n/a | Oct 17, 2005 | Nov 9, 2007 | no | MECHANICSVILLE, VA|MECHANICSVILLE, VA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jul 7, 2005 | Oct 21, 2005 | no | RICHMOND, VA | Previous registration |
| 3,700 |
| Firm change after gap |
| Other |
| U•••• F•••••••• S••••••• G••••• I••• | C••••• I••••••••• S••••••• L•• | Feb 2, 2010 | Feb 2, 2010 | 0 | Firm change | Other |
| Q•• F•••••••• L•• | U•••• F•••••••• S••••••• G••••• I••• | Oct 31, 2008 | Nov 17, 2008 | 17 | Firm change | Other |
| U•••• F•••••••• S••••••• G••••• I••• | Q•• F•••••••• L•• | Nov 9, 2007 | Nov 28, 2007 | 19 | Firm change | Other |
| W•••••• • R••• | U•••• F•••••••• S••••••• G••••• I••• | Oct 21, 2005 | Oct 17, 2005 | -4 | Firm change | Other |