DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• S••••••
Chicago, IL
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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Mar 6, 2025 | n/a | yes | Chicago, IL | Current employment |
| S•• F••••••••• L•• | Independent wealth | Oct 29, 2024 | May 27, 2025 | no | BUFFALO GROVE, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• F••••••••• L•• | M••••• S•••••• | May 27, 2025 | Mar 6, 2025 | -82 | Firm change after gap | RIA to wirehouse |
| C•••••• S••••• • C••• I••• | S•• F••••••••• L•• | Jun 26, 2023 | Oct 29, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7870:5393:IL:2022-10-10 | Oct 14, 2022 | Jan 25, 2022 | OAK BROOK, IL | Firm change after gap |
| National bd RIA |
| Jan 25, 2022 |
| Jun 26, 2023 |
| no |
| WESTLAKE, TX|Northbrook, IL|Oak Brook, IL |
| Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 27, 2018 | Oct 14, 2022 | no | ST. C••••••, IL|Schaumburg, IL|Northbrook, IL|Oak Brook, IL | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Jun 26, 2023 | no | OMAHA, NE|ST. C••••••, IL|SCHAUMBURG, IL|Northbrook, IL | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jan 25, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| P•••••••• L••••• L•• | n/a | Jan 2, 2015 | Oct 26, 2016 | no | ST. C••••••, IL | Previous registration |
| D•••• P•••••••• L•• | n/a | Jul 25, 2012 | Nov 2, 2012 | no | ST. C••••••, IL | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 14, 2000 | Nov 22, 2002 | no | WILMETTE, IL | Previous registration |
| 491 |
| Firm change after gap |
| Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jun 26, 2023 | Feb 27, 2018 | -1,945 | Channel change | Other |
| T• A••••••••• I••• | C•••••• S••••• • C••• I••• | Oct 14, 2022 | Jan 25, 2022 | -262 | Channel change | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| P•••••••• L••••• L•• | S•••••••• I••••••••• M••••••••• | Oct 26, 2016 | Jan 25, 2017 | 91 | Firm change | Other |
| D•••• P•••••••• L•• | P•••••••• L••••• L•• | Nov 2, 2012 | Jan 2, 2015 | 791 | Firm change after gap | Other |
| S•••••••• A••••••• L•• | D•••• P•••••••• L•• | Nov 22, 2002 | Jul 25, 2012 | 3,533 | Firm change after gap | Other |