DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
Baltimore, MD
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 |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | Jun 19, 2014 | n/a | yes | Baltimore, MD | Current employment |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Oct 2, 2013 | Jun 19, 2014 | no | LANCASTER, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••• A••••• S••••••••• L•• | S•••••• N••••••• • C••••••• I••••••••• | Jun 19, 2014 | Jun 19, 2014 | 0 | Firm change | Other |
| B••••••• C•••••• I••• | P••• A••••• S••••••••• L•• | Feb 17, 2012 | Oct 2, 2013 |
| B••••••• C•••••• I••• | Former SEC adviser | Jun 2, 2009 | Feb 17, 2012 | no | WASHINGTON, DC | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Feb 21, 2006 | Jun 4, 2009 | no | NEW YORK, NY|BALTIMORE, MD|NEW YORK, NY | Previous registration |
| L••• M•••• W••• W•••••• I••••••••• | n/a | Nov 18, 2004 | Feb 21, 2006 | no | BALTIMORE, MD | Previous registration |
| 593 |
| Firm change after gap |
| Other |
| C•••••••• G••••• M•••••• I••• | B••••••• C•••••• I••• | Jun 4, 2009 | Jun 2, 2009 | -2 | Firm change | Other |
| L••• M•••• W••• W•••••• I••••••••• | C•••••••• G••••• M•••••• I••• | Feb 21, 2006 | Feb 21, 2006 | 0 | Bulk transfer | Other |