DFX Intelligence
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Reading the graph
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Advisor at C••••••• S••••••••• I•••
••• Locked
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••••••••• I••• | Bd affiliated wealth | May 13, 2019 | n/a | yes | JOHNSTON, RI|HARWICH, MA|ORLEANS, MA|SO YARMOUTH, MA | Current employment |
| E•••• S••••••••• L•• | Bd affiliated wealth | Jul 12, 2016 | May 6, 2019 | no | HYANNIS, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••• S••••••••• L•• | C••••••• S••••••••• I••• | May 6, 2019 | May 13, 2019 | 7 | Firm change | Ibd to ibd |
| S•••••••• S••••••••• | E•••• S••••••••• L•• | Sep 5, 2014 | Jul 12, 2016 |
| S•••••••• S••••••••• | Bd affiliated wealth | Dec 23, 2013 | Sep 5, 2014 | no | Worcester, MA|South Dennis, MA|CHATHAM, MA|Orleans, MA|South Yarmouth, MA|Framingham, MA|Pocasset, MA|LEXINGTON, MA|Hyannis, MA|HYANNIS, MA|MASHPEE, MA | Previous registration |
| E•••• S••••••••• L•• | Bd affiliated wealth | Nov 6, 2013 | Dec 10, 2013 | no | HYANNIS, MA | Previous registration |
| E••••• J•••• | National bd RIA | Mar 26, 2007 | Apr 10, 2007 | no | ST LOUIS, MO | Previous registration |
| Firm change after gap |
| Other |
| E•••• S••••••••• L•• | S•••••••• S••••••••• | Dec 10, 2013 | Dec 23, 2013 | 13 | Firm change | Other |
| E••••• J•••• | E•••• S••••••••• L•• | Apr 10, 2007 | Nov 6, 2013 | 2,402 | Firm change after gap | Other |