DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• A•• P••••••• S•••••••
WHEATON, IL | Plainfield, IL
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••••• A•• P••••••• S••••••• | Bd affiliated wealth | May 15, 2024 | n/a | yes | Plainfield, IL|WHEATON, IL | Current employment |
| N••••• A•••• M••••••••• L•• | Mixed wealth | Jul 20, 2022 | May 13, 2024 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••• A•••• M••••••••• L•• | A••••• A•• P••••••• S••••••• | May 13, 2024 | May 15, 2024 | 2 | Firm change | RIA to ibd |
| C••• B•••••••• S•••••••• I••• | N••••• A•••• M••••••••• L•• | Jun 24, 2022 | Jul 20, 2022 |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Dec 10, 2019 | Jun 24, 2022 | no | Union, KY|Highwood, IL|Fort Worth, TX|Prescott, AZ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 1, 2007 | Oct 28, 2019 | no | NORTHBROOK, IL|NORTHBROOK, IL|LAKE FOREST, IL|LAKE FOREST, IL|NORTHBROOK, IL|NORTHBROOK, IL|NEW YORK, NY | Previous registration |
| 26 |
| Firm change |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C••• B•••••••• S•••••••• I••• | Oct 28, 2019 | Dec 10, 2019 | 43 | Firm change | Wirehouse to ibd |