DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I•••••••• F•••••••• A•••••••• L••
WOBURN, MA | Kittery, ME
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 |
|---|---|---|---|---|---|---|
| I•••••••• F•••••••• A•••••••• L•• | Independent wealth | Apr 28, 2023 | n/a | yes | WOBURN, MA|Kittery, ME | Current employment |
| A•••• W••••• A•••••••• L•• | Bd affiliated wealth | Mar 9, 2012 | Apr 25, 2023 | no | CHICAGO, IL|Portsmouth, NH|Kittery, ME |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••• W••••• A•••••••• L•• | I•••••••• F•••••••• A•••••••• L•• | Apr 25, 2023 | Apr 28, 2023 | 3 | Firm change | Ibd to RIA |
| I••••••••• P••••••••• I••• | A•••• W••••• A•••••••• L•• | Dec 31, 2010 | Mar 9, 2012 |
| I••••••••• P••••••••• I••• | Former SEC adviser | Nov 14, 2008 | Dec 31, 2010 | no | SAUGUS, MA|SAN ANTONIO, TX | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 14, 2005 | Dec 20, 2006 | no | KITTERY, ME|WOBURN, MA|WOBURN, MA | Previous registration |
| 434 |
| Firm change after gap |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | I••••••••• P••••••••• I••• | Dec 20, 2006 | Nov 14, 2008 | 695 | Firm change after gap | Other |