DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•• I•••••••• S•••••••• L••
NEWTOWN SQUARE, PA
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•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | n/a | yes | NEWTOWN SQUARE, PA | Current employment |
| N•••••••• C••••••• L•• | Independent wealth | Feb 16, 2016 | Dec 31, 2017 | no | NEWTOWN SQUARE, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••••••• C••••••• L•• | M•• I•••••••• S•••••••• L•• | Dec 31, 2017 | Mar 25, 2017 | -281 | Bulk transfer | Other |
| M•• F•••••••• S•••••••• I••• | N•••••••• C••••••• L•• | Mar 25, 2017 | Feb 16, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 14251:152430:PA:2017-03-25 | Mar 25, 2017 | Feb 16, 2016 | NEWTOWN SQUARE, PA | Firm change after gap |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | NEWTOWN SQUARE, PA | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Jun 21, 2002 | Jan 2, 2015 | no | NEWTOWN SQUARE, PA|NEWTOWN SQUARE, PA | Previous registration |
| -403 |
| Firm change after gap |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |