DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at W••••• E••••••••• A••••••• S•••••••• L••
••• 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 |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jan 2, 2025 | n/a | yes | ELLSWORTH, ME|PLYMOUTH, MN|BANGOR, ME | Current employment |
| V•••••••• W••••• M••••••••• I••• | Former SEC adviser | Jan 22, 2007 | Mar 14, 2025 | no | BANGOR, ME |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V•••••••• W••••• M••••••••• I••• | W••••• E••••••••• A••••••• S•••••••• L•• | Mar 14, 2025 | Jan 2, 2025 | -71 | Firm change after gap | RIA to ibd |
| T•••• A•••••••• L•• | V•••••••• W••••• M••••••••• I••• | Mar 8, 2007 | Jan 22, 2007 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 142613:116407:ME:2025-03-05 | Mar 14, 2025 | Jan 2, 2025 | BANGOR, ME | Firm change after gap |
| T•••• A•••••••• L•• | Former SEC adviser | Jan 3, 2007 | Mar 8, 2007 | no | BANGOR, ME|ATLANTA, GA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 30, 2002 | Jan 4, 2007 | no | BANGOR, ME | Previous registration |
| -45 |
| Firm change after gap |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | T•••• A•••••••• L•• | Jan 4, 2007 | Jan 3, 2007 | -1 | Firm change | Other |