DFX Intelligence
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Reading the graph
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Advisor at Y••• C••••• F••••••••• L••
BRISTOL, 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 |
|---|---|---|---|---|---|---|
| Y••• C••••• F••••••••• L•• | State registered | Feb 1, 2023 | n/a | yes | BRISTOL, CT | Current employment |
| Y••• C••••• F••••••••• L•• | State registered | Feb 16, 2011 | Dec 31, 2022 | no | BRISTOL, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• P••••••• | Y••• C••••• F••••••••• L•• | Apr 30, 2007 | Aug 28, 2007 | 120 | Firm change | Other |
| O•••• F•• I••• | S••••••• P••••••• | Apr 21, 2004 | Jun 9, 2004 |
| Y••• C••••• F••••••••• L•• | State registered | Aug 28, 2007 | Dec 31, 2010 | no | n/a | Previous registration |
| S••••••• P••••••• | Independent wealth | Jun 9, 2004 | Apr 30, 2007 | no | BRISTOL, CT | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Mar 1, 2004 | Apr 21, 2004 | no | GLASTONBURY, CT | Previous registration |
| Firm change |
| Other |