DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
ESSEX, CT | BRANFORD, CT
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•• F•••••••• L•• | Bd affiliated wealth | Sep 27, 2016 | n/a | yes | ESSEX, CT|BRANFORD, CT | Current employment |
| K•• I••••••••• S••••••• L•• | Bd affiliated wealth | Sep 21, 2016 | Sep 22, 2016 | no | GUILFORD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K•• I••••••••• S••••••• L•• | L•• F•••••••• L•• | Sep 22, 2016 | Sep 27, 2016 | 5 | Firm change | Other |
| L•• F•••••••• L•• | K•• I••••••••• S••••••• L•• | Sep 21, 2016 | Sep 21, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:136300:CT:2016-09-21 | Sep 21, 2016 | Sep 21, 2016 | ESSEX, CT | Firm change |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 21, 2016 | Sep 21, 2016 | no | ESSEX, CT | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | May 14, 2015 | Sep 20, 2016 | no | WEST HARTFORD, CT|CHESHIRE, CT|GUILFORD, CT|BRANFORD, CT|BRANFORD, CT|MADISON, CT|NORTH BRANFORD, CT|ESSEX, CT|WOODBRIDGE, CT|SEYMOUR, CT | Previous registration |
| N•••••••• W••••• P••••••• L•• | Former SEC adviser | Jun 19, 2014 | May 14, 2015 | no | WEST HARTFORD, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Oct 6, 2003 | May 28, 2014 | no | NORTHFORD, CT|EAST HAVEN, CT|NORTH HAVEN, CT|BRANFORD, CT|BRANFORD, CT|MELVILLE, NY | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 18, 1996 | Oct 6, 2003 | no | HARTFORD, CT | Previous registration |
| Firm change |
| Other |
| N•••••••• W••••• P••••••• L•• | L•• F•••••••• L•• | May 14, 2015 | May 14, 2015 | 0 | Firm change | Other |
| W•••• F•••• A••••••• | N•••••••• W••••• P••••••• L•• | May 28, 2014 | Jun 19, 2014 | 22 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••• F•••• A••••••• | Oct 6, 2003 | Oct 6, 2003 | 0 | Firm change | Wirehouse to wirehouse |