DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
MYSTIC, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 6, 2025 | n/a | yes | MYSTIC, CT | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | Jun 5, 2025 | no | MYSTIC, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | L•• F•••••••• L•• | Jun 5, 2025 | Jun 6, 2025 | 1 | Firm change | Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 |
| S••••••••• A•••••• A•••••••• I••• |
| Former SEC adviser |
| Jul 17, 2020 |
| Jun 14, 2024 |
| no |
| MYSTIC, CT |
| Previous registration |
| I••••••••• A••••••• S••••••• I•• | Former SEC adviser | Feb 7, 2003 | Jul 17, 2020 | no | SOUTH WINDSOR, CT|MUSTIC, CT | Previous registration |
| Bulk transfer |
| Ibd to ibd |
| I••••••••• A••••••• S••••••• I•• | S••••••••• A•••••• A•••••••• I••• | Jul 17, 2020 | Jul 17, 2020 | 0 | Bulk transfer | Ibd to ibd |