DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••••• C••••••• L••
FORT WASHINGTON, PA | NEWTOWN SQUARE, PA
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 |
|---|---|---|---|---|---|---|
| T•• I••••••••• L••• L•• | State registered | Jun 6, 2018 | n/a | yes | FORT WASHINGTON, PA | Current employment |
| N•••••••• C••••••• L•• | Independent wealth | Feb 15, 2016 | n/a | yes | NEWTOWN SQUARE, PA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | T•• I••••••••• L••• L•• | Apr 20, 2017 | Jun 6, 2018 | 412 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | N•••••••• C••••••• L•• | Mar 25, 2017 | Feb 15, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 14251:152430:PA:2017-03-25 | Mar 25, 2017 | Feb 15, 2016 | NEWTOWN SQUARE, PA | Firm change after gap |
| Bd affiliated wealth |
| Mar 25, 2017 |
| Apr 20, 2017 |
| no |
| NEWTOWN SQUARE, PA |
| Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | NEWTOWN SQUARE, PA | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Aug 13, 2009 | Jan 2, 2015 | no | NEWTOWN SQUARE, PA | Previous registration |
| -404 |
| Firm change after gap |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |