DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W••••• M••••••••• L••
ALTOONA, WI
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 |
|---|---|---|---|---|---|---|
| O•••• W••••• M••••••••• L•• | Independent wealth | Oct 11, 2013 | n/a | yes | ALTOONA, WI | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | Apr 17, 2012 | Oct 24, 2013 | no | EAU CLAIRE, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | O•••• W••••• M••••••••• L•• | Oct 24, 2013 | Oct 11, 2013 | -13 | Firm change | Ibd to new firm |
| N•• A•••••••• I••• | R•• C•••••• M••••••• L•• | Oct 1, 2010 | Apr 17, 2012 |
| N•• A•••••••• I••• | n/a | Mar 5, 2008 | Oct 1, 2010 | no | ST PAUL, MN | Previous registration |
| N•• F••••••••• I••• | n/a | Jan 3, 2008 | Oct 20, 2008 | no | BRYAN, OH|ST PAUL, MN | Previous registration |
| C••••••• • C••• I••• | Former SEC adviser | Oct 28, 2005 | Oct 30, 2006 | no | ST. PAUL, MN|Malden, MA|ST. PAUL, MN | Previous registration |
| 564 |
| Firm change after gap |
| Other |
| N•• F••••••••• I••• | N•• A•••••••• I••• | Oct 20, 2008 | Mar 5, 2008 | -229 | Bulk transfer | Other |
| C••••••• • C••• I••• | N•• F••••••••• I••• | Oct 30, 2006 | Jan 3, 2008 | 430 | Firm change after gap | Other |