DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••••• S••••••••• C••••
NEWARK, DE | Pittsburg, CA
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••••••• S••••••••• C•••• | Bd affiliated wealth | Jul 5, 2011 | n/a | yes | NEWARK, DE|Pittsburg, CA | Current employment |
| B••••••••• I••••••••• A••••••• S••••••• | Former SEC adviser | Apr 2, 2007 | Jun 17, 2011 | no | NEWARK, DE|LAKELAND, FL|WILMINGTON, DE|PALM HARBOR, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••••• I••••••••• A••••••• S••••••• | L••••••• S••••••••• C•••• | Jun 17, 2011 | Jul 5, 2011 | 18 | Firm change | Other |
| F••• A••••••• | B••••••••• I••••••••• A••••••• S••••••• | Apr 2, 2007 | Apr 2, 2007 |
| F••• A••••••• | Former SEC adviser | Sep 22, 2005 | Apr 2, 2007 | no | BLOOMINGTON, IL|BLOOMINGTON, IL|KENNETT SQUARE, PA|KENNETT SQUARE, PA | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Nov 4, 2003 | Jul 18, 2005 | no | WILMINGTON, DE | Previous registration |
| M••••• S•••••• D• I••• | n/a | May 21, 1998 | Apr 3, 2003 | no | WILMINGTON, DE | Previous registration |
| 0 |
| Firm change |
| Other |
| R•••••• J•••• • A••••••••• I••• | F••• A••••••• | Jul 18, 2005 | Sep 22, 2005 | 66 | Firm change | Other |
| M••••• S•••••• D• I••• | R•••••• J•••• • A••••••••• I••• | Apr 3, 2003 | Nov 4, 2003 | 215 | Firm change | Other |