DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
Des Plaines, IL | WEEHAWKEN, NJ
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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Jan 29, 2013 | n/a | yes | WEEHAWKEN, NJ|Des Plaines, IL | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Oct 31, 2012 | Nov 30, 2012 | no | Chicago, IL|Spokane, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | U•• F•••••••• S••••••• I••• | Nov 30, 2012 | Jan 29, 2013 | 60 | Firm change | Ibd to wirehouse |
| B•• H••••• F•••••••• A•••••••• I•• | M•• F•••••••• A•••••••• I••• | Oct 9, 2012 | Mar 23, 2012 |
| M•• F•••••••• A•••••••• I••• | Former SEC adviser | Mar 23, 2012 | Aug 17, 2012 | no | MILWAUKEE, WI | Previous registration |
| B•• H••••• F•••••••• A•••••••• I•• | Former SEC adviser | Jun 22, 2006 | Oct 9, 2012 | no | CHICAGO, IL | Previous registration |
| -200 |
| CHA•••L_CHANGE |
| Other |
| M•• F•••••••• A•••••••• I••• | C•••••• S••••• • C••• I••• | Aug 17, 2012 | Oct 31, 2012 | 75 | Firm change | Other |