DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• A••••••• I•••
BIRMINGHAM, AL | FRANKFORT, IL
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••••• A••••••• I••• | Bd affiliated wealth | Dec 6, 2019 | n/a | yes | FRANKFORT, IL|BIRMINGHAM, AL | Current employment |
| Q•••• C•••••• S••••••••• I••• | Former SEC adviser | Feb 20, 2008 | Dec 6, 2019 | no | FRANKFORT, IL|LAGUNA HILLS, CA|OAK LAWN, IL|LAGUNA HILLS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| Q•••• C•••••• S••••••••• I••• | S••••• A••••••• I••• | Dec 6, 2019 | Dec 6, 2019 | 0 | Bulk transfer | RIA to ibd |
| U•••• I••••••••• I••• | Q•••• C•••••• S••••••••• I••• | Dec 31, 2008 | Feb 20, 2008 |
| U•••• I••••••••• I••• | n/a | Jun 27, 2003 | Dec 31, 2008 | no | PALOS PARK, IL | Previous registration |
| 1••• C•••••• M••••••••• C•••••• | n/a | Jan 31, 2001 | Oct 2, 2002 | no | OAKBROOK, IL | Previous registration |
| -315 |
| Firm change after gap |
| Other |
| 1••• C•••••• M••••••••• C•••••• | U•••• I••••••••• I••• | Oct 2, 2002 | Jun 27, 2003 | 268 | Firm change | Other |