DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• F•••••••• N••••••
••• 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 |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | National bd RIA | May 3, 2006 | n/a | yes | PITTSFIELD, MA|GREAT BARRINGTON, MA|Westfield, MA | Current employment |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Mar 28, 2006 | no | BRIDGEWATER, MA|NEWTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••• O• A•••••• I••••••••• S•••••••• I••• | C••••••••• F•••••••• N•••••• | Mar 28, 2006 | May 3, 2006 | 36 | Firm change | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 |
| Previous registration |
| Q•••• • R•••••• I••• | n/a | Jul 7, 2004 | Oct 20, 2004 | no | NEWTON, MA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Apr 11, 2003 | Apr 2, 2004 | no | STAMFORD, CT | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 27, 2002 | Apr 16, 2003 | no | STAMFORD, CT | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| U•• F•••••••• S••••••• I••• | Q•••• • R•••••• I••• | Apr 2, 2004 | Jul 7, 2004 | 96 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | Apr 16, 2003 | Apr 11, 2003 | -5 | Firm change | Wirehouse to wirehouse |