DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••• F•••••••• S••••••••• L••
Willis, TX
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 |
|---|---|---|---|---|---|---|
| F••••••• F•••••••• S••••••••• L•• | Independent wealth | Mar 28, 2016 | n/a | yes | Willis, TX | Current employment |
| N•••••••• W••••• P••••••• L•• | Former SEC adviser | Feb 3, 2015 | Apr 20, 2016 | no | WEST HARTFORD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••••••• W••••• P••••••• L•• | F••••••• F•••••••• S••••••••• L•• | Apr 20, 2016 | Mar 28, 2016 | -23 | Firm change | Other |
| L•• F•••••••• L•• | S•••••• W••••• P•••••••• L•• | Nov 2, 2015 | Sep 1, 2010 |
| S•••••• W••••• P•••••••• L•• | Bd affiliated wealth | Sep 1, 2010 | Dec 31, 2011 | no | WEST HARTFORD, CT | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 31, 2009 | Nov 2, 2015 | no | GLASTONBURY, CT|WEST HARTFORD, CT | Previous registration |
| P••••••• S••••••••• I••• | Former SEC adviser | Sep 20, 2004 | Jul 20, 2009 | no | BRIDGEPORT, CT|VERNON, CT | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Jul 1, 2003 | Sep 15, 2004 | no | FARMINGTON, CT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 2, 1998 | Mar 27, 2003 | no | EAST HARTFORD, CT | Previous registration |
| -1,888 |
| Firm change after gap |
| Other |
| S•••••• W••••• P•••••••• L•• | N•••••••• W••••• P••••••• L•• | Dec 31, 2011 | Feb 3, 2015 | 1,130 | Firm change after gap | Other |
| P••••••• S••••••••• I••• | L•• F•••••••• L•• | Jul 20, 2009 | Jul 31, 2009 | 11 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | P••••••• S••••••••• I••• | Sep 15, 2004 | Sep 20, 2004 | 5 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | M•• I•••••••• S•••••••• L•• | Mar 27, 2003 | Jul 1, 2003 | 96 | Firm change | Other |