DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• P•••••••
Tampa, FL | OVERLAND PARK, KS
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 |
|---|---|---|---|---|---|---|
| C••••••• P••••••• | Independent wealth | Nov 15, 2023 | n/a | yes | Tampa, FL|OVERLAND PARK, KS | Current employment |
| M•• S••••••••• L•• | Former SEC adviser | Feb 17, 2017 | Dec 31, 2019 | no | Tampa, FL|Norwalk, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• S••••••••• L•• | C••••••• P••••••• | Dec 31, 2019 | Nov 15, 2023 | 1,415 | Firm change after gap | Other |
| L•• F•••••••• L•• | M•• S••••••••• L•• | Jan 27, 2017 | Feb 17, 2017 |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 2, 2013 | Jan 27, 2017 | no | APEX, NC | Previous registration |
| C••••••• F•••••••• A••••••• | Former SEC adviser | Feb 4, 2010 | Apr 3, 2013 | no | RALEIGH, NC|RALEIGH, NC|RALEIGH, NC | Previous registration |
| E••••• J•••• | National bd RIA | Aug 3, 2009 | Sep 17, 2009 | no | ST LOUIS, MO | Previous registration |
| Firm change |
| Other |
| C••••••• F•••••••• A••••••• | L•• F•••••••• L•• | Apr 3, 2013 | Apr 2, 2013 | -1 | Firm change | Other |
| E••••• J•••• | C••••••• F•••••••• A••••••• | Sep 17, 2009 | Feb 4, 2010 | 140 | Firm change | Other |