DFX Intelligence
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Reading the graph
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Advisor at S••••• F••••••••• L••
PARSIPPANY, 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 |
|---|---|---|---|---|---|---|
| S••••• F••••••••• L•• | Bd affiliated wealth | Jun 9, 2022 | n/a | yes | PARSIPPANY, NJ | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | May 5, 2022 | no | BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S••••• F••••••••• L•• | May 5, 2022 | Jun 9, 2022 | 35 | Firm change | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Dec 7, 2017 | Jul 13, 2018 | no | BRIDGEWATER, NJ | Previous registration |
| P••••••• C•• S•••••••• L•• | Independent wealth | Jul 29, 2016 | Nov 10, 2017 | no | CHESTER, NJ | Previous registration |
| J• E••• W••••• A•••••••• L•• | Former SEC adviser | Jun 18, 2015 | May 4, 2016 | no | MADISON, NJ | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| P••••••• C•• S•••••••• L•• | S•••••••• A••••••• L•• | Nov 10, 2017 | Dec 7, 2017 | 27 | Firm change | Other |
| J• E••• W••••• A•••••••• L•• | P••••••• C•• S•••••••• L•• | May 4, 2016 | Jul 29, 2016 | 86 | Firm change | Other |