DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
DUBLIN, OH
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••••• I••••••••• A••••••• L•• | Bd affiliated wealth | May 6, 2022 | n/a | yes | DUBLIN, OH | Current employment |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | May 13, 2022 | no | DUBLIN, OH|DUBLIN, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | C••••• I••••••••• A••••••• L•• | May 13, 2022 | May 6, 2022 | -7 | Firm change | Ibd to ibd |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | DUBLIN, OH | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Mar 15, 2002 | Jan 2, 2015 | no | DUBLIN, OH|ARLINGTON, OH|CAREY, OH|FINDLAY, OH|FINDLAY, OH|UPPER SANDUSKY, OH|HARPSTER, OH|WESTERVILLE, OH|MARION, OH|MARION, OH|COLUMBUS, OH | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |