DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
GUILFORD, 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 | Jun 7, 2018 | n/a | yes | GUILFORD, CT | Current employment |
| W••••••• C•••••• M••••••• L•• | Former SEC adviser | Nov 6, 2013 | Jun 26, 2018 | no | W•••••••, CT|W•••••••, CT|W•••••••, CT|Guilford, CT|GUILFORD, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• C•••••• M••••••• L•• | L•• F•••••••• L•• | Jun 26, 2018 | Jun 7, 2018 | -19 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W••••••• C•••••• M••••••• L•• | Nov 14, 2013 | Nov 6, 2013 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 41562:6413:CT:2018-06-26 | Jun 26, 2018 | Jun 7, 2018 | GUILFORD, CT | Firm change |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 12, 2008 | Nov 14, 2013 | no | FAIRFIELD, CT|DARIEN, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Nov 11, 2005 | Dec 15, 2008 | no | W•••••••, CT | Previous registration |
| L••• M•••• W••• W•••••• I••••••••• | n/a | Jul 23, 2003 | Nov 17, 2005 | no | NEW YORK, NY | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | Jul 23, 2003 | no | W•••••••, CT | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Mar 3, 2000 | Jul 1, 2003 | no | W•••••••, CT | Previous registration |
| -8 |
| Firm change |
| Other |
| W•••• F•••• A••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Dec 15, 2008 | Dec 12, 2008 | -3 | Firm change | Wirehouse to wirehouse |
| L••• M•••• W••• W•••••• I••••••••• | W•••• F•••• A••••••• | Nov 17, 2005 | Nov 11, 2005 | -6 | Firm change | Other |
| W•••• F•••• A••••••• | L••• M•••• W••• W•••••• I••••••••• | Jul 23, 2003 | Jul 23, 2003 | 0 | Firm change | Other |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |