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Advisor at E•••••••• P••••••• L••
PHOENIX, AZ | Princeton, 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 |
|---|---|---|---|---|---|---|
| E•••••••• P••••••• L•• | State registered | Dec 19, 2023 | n/a | yes | Princeton, NJ|PHOENIX, AZ | Current employment |
| F••••• W••••• W••••• M••••••••• L•• | Independent wealth | Oct 23, 2019 | Nov 22, 2023 | no | Princeton, NJ|CANTON, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• W••••• W••••• M••••••••• L•• | E•••••••• P••••••• L•• | Nov 22, 2023 | Dec 19, 2023 | 27 | Firm change | RIA to state RIA |
| C••••• I••••••••• A••••••• L•• | F••••• W••••• W••••• M••••••••• L•• | Sep 20, 2019 | Oct 23, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 124504:282920:NJ:2016-03-09 | Mar 23, 2016 | Mar 18, 2016 | KINGSTON, NJ | Firm change |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | May 20, 2019 | Sep 20, 2019 | no | WEST WINDOR, NJ | Previous registration |
| G••• E•••• A•••••••• L•• | Independent wealth | Mar 18, 2016 | May 17, 2019 | no | Princeton, NJ|KINGSTON, NJ | Previous registration |
| G••• E•••• A•••••••• L•• | Former SEC adviser | Jul 2, 2013 | Mar 23, 2016 | no | Princeton, NJ|PRINCETON, NJ|Kingston, NJ | Previous registration |
| W•••• A••••••• S••••••• | Former SEC adviser | Dec 22, 2011 | Dec 7, 2012 | no | LAWRENCEVILLE, NJ|LAWRENCEVILLE, NJ|BAYONNE, NJ | Previous registration |
| C••••••••• A•••••••• I•• | Former SEC adviser | May 6, 2004 | Nov 15, 2011 | no | HAMILTON, NJ|LAWRENCEVILLE, NJ | Previous registration |
| U•••••••• S••••••••• I••• | n/a | Jan 2, 2001 | Dec 31, 2003 | no | HAMILTON, NJ | Previous registration |
| 33 |
| Firm change |
| Ibd to RIA |
| G••• E•••• A•••••••• L•• | C••••• I••••••••• A••••••• L•• | May 17, 2019 | May 20, 2019 | 3 | Firm change | RIA to ibd |
| G••• E•••• A•••••••• L•• | G••• E•••• A•••••••• L•• | Mar 23, 2016 | Mar 18, 2016 | -5 | Channel change | Other |
| W•••• A••••••• S••••••• | G••• E•••• A•••••••• L•• | Dec 7, 2012 | Jul 2, 2013 | 207 | Firm change | Other |
| C••••••••• A•••••••• I•• | W•••• A••••••• S••••••• | Nov 15, 2011 | Dec 22, 2011 | 37 | Firm change | Other |
| U•••••••• S••••••••• I••• | C••••••••• A•••••••• I•• | Dec 31, 2003 | May 6, 2004 | 127 | Firm change | Other |