DFX Intelligence
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Reading the graph
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Advisor at I•••••••••
••• Locked
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 |
|---|---|---|---|---|---|---|
| I••••••••• | State registered | Jun 30, 2026 | n/a | yes | STONEHAM, MA | Current employment |
| B•••••••• P•••••• W••••• | Independent wealth | Nov 3, 2023 | n/a | yes | Stoneham, MA|LOCUST VALLEY, NY | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | B•••••••• P•••••• W••••• | Aug 21, 2023 | Nov 3, 2023 | 74 | Firm change | Wirehouse to RIA |
| C••••••• S••••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | May 1, 2015 | May 4, 2015 |
| Wirehouse |
| May 4, 2015 |
| Aug 21, 2023 |
| no |
| READING, MA|QUINCY, MA|BOSTON, MA|READING, MA|READING, MA|WAKEFIELD, MA|BOSTON, MA|QUINCY, MA|READING , MA 01867, MA|BOSTON, MA|READING, MA|READING, MA|BOSTON, MA|WELLESLEY HILLS, MA|READING, MA|BOSTON, MA|BELMONT, MA|READING, MA |
| Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Jun 25, 2013 | May 1, 2015 | no | SOMERVILLE, MA|STONEHAM, MA|WOBURN, MA|MEDFORD, MA|CHELSEA, MA|SOMERVILLE, MA|HYDE PARK, MA|ROSLINDALE, MA|ALLSTON, MA|DORCHESTER, MA|EAST BOSTON, MA|EVERETT, MA|WOBURN, MA|EAST BOSTON, MA|EVERETT, MA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Feb 23, 2011 | Nov 2, 2011 | no | FLUSHING, NY | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 11, 2008 | Dec 23, 2010 | no | Manhasset, NY|New York City, NY | Previous registration |
| 3 |
| Firm change |
| Other |
| C•••• I••••••••• S••••••• C•••• | C••••••• S••••••••• I••• | Nov 2, 2011 | Jun 25, 2013 | 601 | Firm change after gap | Other |
| C•••••• S••••• • C••• I••• | C•••• I••••••••• S••••••• C•••• | Dec 23, 2010 | Feb 23, 2011 | 62 | Firm change | Other |