DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•• C•••••• M••••••• L••
FORT LAUDERDALE, FL | FT. LAUDERDALE, FL
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 |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | National bd RIA | Oct 31, 2017 | n/a | yes | FORT LAUDERDALE, FL|FT. LAUDERDALE, FL | Current employment |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Nov 1, 2017 | no | FT. LAUDERDALE, FL|Fort Lauderdale, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | R•• C•••••• M••••••• L•• | Nov 1, 2017 | Oct 31, 2017 | -1 | Firm change | Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | FT. LAUDERDALE, FL | Previous registration |
| M••••• S•••••• D• I••• | n/a | Feb 12, 2007 | Apr 2, 2007 | no | FT. LAUDERDALE, FL | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Apr 6, 1989 | Feb 13, 2007 | no | FT LAUDERDALE, FL|FT. LAUDERDALE, FL | Previous registration |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| M••••• K••••• • C••••••• L•• | M••••• S•••••• D• I••• | Feb 13, 2007 | Feb 12, 2007 | -1 | Firm change | Other |