DFX Intelligence
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Reading the graph
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Advisor at C••••••••• F•••••••• N••••••
Onalaska, WI | Mauston, WI
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••••••••• F•••••••• N•••••• | National bd RIA | Feb 26, 2019 | n/a | yes | Mauston, WI|Onalaska, WI | Current employment |
| A•••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 15, 2015 | Feb 26, 2019 | no | LACROSSE, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••••• I••••••••• M••••••••• L•• | C••••••••• F•••••••• N•••••• | Feb 26, 2019 | Feb 26, 2019 | 0 | Firm change | RIA to ibd |
| L•• F•••••••• L•• | A•••••••• I••••••••• M••••••••• L•• | Oct 28, 2015 | Jan 15, 2015 |
| L•• F•••••••• L•• | Bd affiliated wealth | May 2, 2011 | Oct 28, 2015 | no | HORTONVILLE, WI|SAN DIEGO, CA|GREENVILLE, WI|LA CROSSE, WI | Previous registration |
| E••••• J•••• | National bd RIA | Jun 8, 2006 | May 3, 2011 | no | APPELTON, WI|NEW LONDON, WI|NEW LONDON, WI|ST LOUIS, MO | Previous registration |
| -286 |
| Firm change after gap |
| Other |
| E••••• J•••• | L•• F•••••••• L•• | May 3, 2011 | May 2, 2011 | -1 | Firm change | Other |