DFX Intelligence
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Reading the graph
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Advisor at R•• C•••••• M••••••• L••
GLASTONBURY, CT | Essex, CT
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 |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | National bd RIA | Jan 17, 2019 | n/a | yes | GLASTONBURY, CT|Essex, CT | Current employment |
| W•••• F•••• A••••••• | Wirehouse | Jan 29, 2014 | Jan 16, 2019 | no | GLASTONBURY, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | R•• C•••••• M••••••• L•• | Jan 16, 2019 | Jan 17, 2019 | 1 | Firm change | Wirehouse to ibd |
| S•• A•••••••• I••• | W•••• F•••• A••••••• | Jan 30, 2014 | Jan 29, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 19616:31194:CT:2019-01-16 | Jan 16, 2019 | Jan 17, 2019 | GLASTONBURY, CT | Firm change |
| S•• A•••••••• I••• | Former SEC adviser | Mar 19, 2009 | Jan 30, 2014 | no | WETHERSFIELD, CT | Previous registration |
| S•• A•••••••• I••• | Former SEC adviser | Dec 18, 2006 | Mar 19, 2009 | no | GLASTONBURY, CT | Previous registration |
| A•••••••• A••••••• S•••••••• L•• | Independent wealth | Jun 30, 2003 | Aug 19, 2004 | no | GLASTONBURY, CT | Previous registration |
| -1 |
| Firm change |
| Other |
| A•••••••• A••••••• S•••••••• L•• | S•• A•••••••• I••• | Aug 19, 2004 | Dec 18, 2006 | 851 | Firm change after gap | Other |