DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
LAKE ZURICH, IL
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 | Jan 19, 2024 | n/a | yes | LAKE ZURICH, IL | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 8, 2017 | Jan 19, 2024 | no | LAKE ZURICH, IL|LAKE ZURICH, IL|NAPLES, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | W••••••• F•••••••• S•••••••• I••• | Aug 10, 2017 | Aug 8, 2017 |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 23, 2015 | Aug 10, 2017 | no | UNION GROVE, WI | Previous registration |
| F•••••••• L•• | Former SEC adviser | Nov 29, 2010 | Jul 22, 2015 | no | CHICAGO, IL|UNION GROVE, WI|SALEM, WI|WATERFORD, WI|BURLINGTON, WI | Previous registration |
| V••••• A•••• M••••••••• I•• | n/a | Sep 6, 2006 | Apr 30, 2007 | no | MOUNT PROSPECT, IL | Previous registration |
| F•••• T•••• S••••••••• I••• | Bd affiliated wealth | May 16, 2006 | Sep 29, 2006 | no | LAKE ZURICH, IL|NORTHBROOK, IL|ROLLING MEADOWS, IL | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 31, 2002 | Dec 19, 2003 | no | SCHAUMBURG, IL | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Dec 26, 2000 | Jun 28, 2002 | no | BARRINGTON, IL | Previous registration |
| -2 |
| Firm change |
| Other |
| F•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Jul 22, 2015 | Jul 23, 2015 | 1 | Firm change | Other |
| V••••• A•••• M••••••••• I•• | F•••••••• L•• | Apr 30, 2007 | Nov 29, 2010 | 1,309 | Firm change after gap | Other |
| F•••• T•••• S••••••••• I••• | V••••• A•••• M••••••••• I•• | Sep 29, 2006 | Sep 6, 2006 | -23 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | F•••• T•••• S••••••••• I••• | Dec 19, 2003 | May 16, 2006 | 879 | Firm change after gap | Other |
| A• G• E•••••• • S•••• I••• | U•• F•••••••• S••••••• I••• | Jun 28, 2002 | May 31, 2002 | -28 | Firm change | Other |