DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Oak Brook, 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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 27, 2022 | n/a | yes | Oak Brook, IL | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 11, 2017 | Sep 7, 2023 | no | Oak Brook, IL|OAK BROOK, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 27, 2022 | -588 | Bulk transfer | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Oct 11, 2017 |
| T• A••••••••• I••• | Former SEC adviser | Oct 11, 2017 | Oct 14, 2022 | no | Oak Brook, IL | Previous registration |
| I••••••••• A••••••• C••• | Former SEC adviser | Jan 28, 2015 | Sep 15, 2017 | no | WESTMONT, IL | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | May 29, 2012 | Jul 21, 2014 | no | LOVES PARK, IL | Previous registration |
| E••••• J•••• | National bd RIA | Oct 6, 2009 | Feb 2, 2011 | no | ST LOUIS, MO | Previous registration |
| G••••••••• I••••••••• | Asset manager | Oct 19, 2005 | Nov 4, 2008 | no | CHICAGO, IL|LISLE, IL | Previous registration |
| V•• K••••• A••••••• I•• | n/a | Mar 9, 2005 | Oct 17, 2005 | no | OAKBROOK TERRACE, IL | Previous registration |
| -1,829 |
| Bulk transfer |
| Other |
| I••••••••• A••••••• C••• | T• A••••••••• I••• | Sep 15, 2017 | Oct 11, 2017 | 26 | Firm change | Other |
| R•••••• J•••• • A••••••••• I••• | I••••••••• A••••••• C••• | Jul 21, 2014 | Jan 28, 2015 | 191 | Firm change | Other |
| E••••• J•••• | R•••••• J•••• • A••••••••• I••• | Feb 2, 2011 | May 29, 2012 | 482 | Firm change after gap | Ibd to ibd |
| G••••••••• I••••••••• | E••••• J•••• | Nov 4, 2008 | Oct 6, 2009 | 336 | Firm change | Other |
| V•• K••••• A••••••• I•• | G••••••••• I••••••••• | Oct 17, 2005 | Oct 19, 2005 | 2 | Firm change | Other |