DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 21, 2019 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| S•••••••• A•••••••• L•• | Bd affiliated wealth | Oct 3, 2018 | Feb 7, 2019 | no | Indianapolis, IN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Feb 7, 2019 | Feb 21, 2019 | 14 | Firm change | Ibd to wirehouse |
| W•••• F•••• A••••••• | S•••••••• A•••••••• L•• | Sep 24, 2018 | Oct 3, 2018 |
| W•••• F•••• A••••••• | Wirehouse | Oct 26, 2010 | Sep 24, 2018 | no | RANCHO SANTA FE, CA|SAN DIEGO, CA | Previous registration |
| K••••••• C•••••• C••••••••• | Former SEC adviser | Sep 28, 2010 | Oct 13, 2010 | no | NEW YORK, NY | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Feb 16, 2006 | Dec 4, 2006 | no | LA JOLLA, CA|LA JOLLA, CA | Previous registration |
| 9 |
| Firm change |
| Wirehouse to ibd |
| K••••••• C•••••• C••••••••• | W•••• F•••• A••••••• | Oct 13, 2010 | Oct 26, 2010 | 13 | Firm change | Other |
| W•••• F•••• A••••••• | K••••••• C•••••• C••••••••• | Dec 4, 2006 | Sep 28, 2010 | 1,394 | Firm change after gap | Wirehouse to new firm |