DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Narragansett, RI | Manchester, NH
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 | Mar 30, 2021 | n/a | yes | Manchester, NH|Narragansett, RI | Current employment |
| G••••• P•••••••• S••••••••• I••• | Former SEC adviser | Feb 23, 2007 | Dec 31, 2018 | no | HARTFORD, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••• P•••••••• S••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Dec 31, 2018 | Mar 30, 2021 | 820 | Firm change after gap | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | G••••• P•••••••• S••••••••• I••• | Feb 5, 2007 | Feb 23, 2007 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105812:6363:CT:2018-12-31 | Dec 31, 2018 | Mar 30, 2021 | HARTFORD, CT | Firm change after gap |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Feb 5, 2007 | no | SPRINGFIELD, MA|SPRINGFIELD, MA|SPRINGFIELD, MA | Previous registration |
| Q•••• • R•••••• I••• | n/a | Dec 4, 2002 | Oct 20, 2004 | no | SPRINGFIELD, MA | Previous registration |
| 18 |
| Firm change |
| Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |