DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• A•••••• G••••
CINCINNATI, OH | Joliet, 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 |
|---|---|---|---|---|---|---|
| U••••• A•••••• G•••• | Independent wealth | Jul 25, 2023 | n/a | yes | Joliet, IL|CINCINNATI, OH | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Nov 16, 2017 | Jul 27, 2023 | no | Plainfield, IL|Arrington, TN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | U••••• A•••••• G•••• | Jul 27, 2023 | Jul 25, 2023 | -2 | Firm change | Ibd to RIA |
| I••••• F•••••••• C••••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Nov 17, 2017 | Nov 16, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134139:324205:TN:2023-07-26 | Jul 27, 2023 | Jul 25, 2023 | ARRINGTON, TN | Firm change |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Jul 30, 2004 | Nov 17, 2017 | no | STREATOR, IL|OTTAWA, IL|YORKVILLE, IL|PLAINFIELD, IL|YORKVILLE, IL|STREATOR, IL|OTTAWA, IL | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Mar 19, 2001 | Aug 3, 2004 | no | OTTAWA, IL | Previous registration |
| -1 |
| Firm change |
| Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | I••••• F•••••••• C••••••••• | Aug 3, 2004 | Jul 30, 2004 | -4 | Firm change | Other |