DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••••• A•••••••• L••
CLEVELAND, OH
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•••••••• A•••••••• L•• | National bd RIA | Nov 29, 2021 | n/a | yes | CLEVELAND, OH | Current employment |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Oct 21, 2021 | Oct 26, 2021 | no | BEACHWOOD, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••• A••••• S••••••••• L•• | E•••••••• A•••••••• L•• | Oct 26, 2021 | Nov 29, 2021 | 34 | Firm change | Ibd to ibd |
| M•• I•••••••• S•••••••• L•• | P••• A••••• S••••••••• L•• | Apr 20, 2021 | Oct 21, 2021 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Apr 17, 2017 | Apr 20, 2021 | no | BROADVIEW HEIGHTS, OH|CLEVELAND, OH | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jul 9, 2003 | Mar 26, 2017 | no | BROADVIEW HEIGHTS, OH|BROADVIEW HEIGHTS, OH|SPRINGFIELD, MA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Jan 2, 2002 | Jun 18, 2003 | no | NORTH OLMSTED , OH | Previous registration |
| 184 |
| Firm change |
| Ibd to ibd |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 26, 2017 | Apr 17, 2017 | 22 | Bulk transfer | Other |
| F•• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jun 18, 2003 | Jul 9, 2003 | 21 | Firm change | Other |