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Reading the graph
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Advisor at F••••••• H••••• A•••••••• L••
Yamouthport, MA | BOSTON, MA
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 |
|---|---|---|---|---|---|---|
| F••••••• H••••• A•••••••• L•• | Independent wealth | Dec 8, 2014 | n/a | yes | Yamouthport, MA|BOSTON, MA | Current employment |
| M••••• S•••••• | Wirehouse | Nov 30, 2009 | Dec 3, 2014 | no | HYANNIS, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | F••••••• H••••• A•••••••• L•• | Dec 3, 2014 | Dec 8, 2014 | 5 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | T• W••••• M••••••••• S••••••• I••• | Nov 19, 2009 | Nov 17, 2009 |
| T• W••••• M••••••••• S••••••• I••• | n/a | Nov 17, 2009 | Nov 18, 2009 | no | FALMOUTH, MA|OSTERVILLE, MA | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | May 25, 2005 | Nov 19, 2009 | no | FALMOUTH, MA|ST. CLOUD, MN | Previous registration |
| -2 |
| Bulk transfer |
| Other |
| T• W••••• M••••••••• S••••••• I••• | M••••• S•••••• | Nov 18, 2009 | Nov 30, 2009 | 12 | Firm change | Other |