DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
STERLING HEIGHTS, MI
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Oct 11, 2024 | n/a | yes | STERLING HEIGHTS, MI | Current employment |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jan 2, 2018 | Oct 11, 2024 | no | HOLBROOK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• P••••••••• A•••••••• I•• | O•••• W•••••• I••• | Oct 11, 2024 | Oct 11, 2024 | 0 | Bulk transfer | Ibd to ibd |
| P••••••••• P••••••• S••••••• | A••••••• P••••••••• A•••••••• I•• | Mar 27, 2018 | Jan 2, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 152702:112697:NY:2018-03-27 | Mar 27, 2018 | Jan 2, 2018 | HOLBROOK, NY | Firm change after gap |
| P••••••••• P••••••• S••••••• | Former SEC adviser | Jan 19, 2017 | Mar 27, 2018 | no | Sterling Heights, MI|HOLBROOK, NY | Previous registration |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Dec 1, 2016 | Jan 12, 2017 | no | HOLBROOK, NY | Previous registration |
| -84 |
| Firm change after gap |
| Other |
| A••••••• P••••••••• A•••••••• I•• | P••••••••• P••••••• S••••••• | Jan 12, 2017 | Jan 19, 2017 | 7 | Firm change | Other |