DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••• S•••••••• W••••• L••
WEST STUART, FL
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 |
|---|---|---|---|---|---|---|
| W••••••• S•••••••• W••••• L•• | State registered | Jul 16, 2026 | n/a | yes | WEST STUART, FL | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | May 31, 2024 | no | BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | W••••••• S•••••••• W••••• L•• | May 31, 2024 | Jul 16, 2026 | 776 | Firm change after gap | Ibd to state RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | May 31, 2011 | Jul 13, 2018 | no | STAMFORD, CT | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jun 30, 2009 | Jun 28, 2010 | no | SCARSDALE, NY | Previous registration |
| O•••• I••••••••• I••• | Bd affiliated wealth | May 22, 2006 | May 18, 2009 | no | STAMFORD, CT|NORWALK, CT|DARIEN, CT|NORWALK, CT|WESTPORT, CT|BRIDGEPORT, CT|NORWALK, CT|TRUMBULL, CT|NORWALK, CT|FAIRFIELD, CT|NORWALK, CT|ROWAYTON, CT|NORWALK, CT|FAIRFIELD, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Mar 7, 2001 | May 19, 2006 | no | FAIRFIELD, CT|MONROE, CT | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| C•••• I••••••••• S••••••• C•••• | S•••••••• A••••••• L•• | Jun 28, 2010 | May 31, 2011 | 337 | Firm change | Other |
| O•••• I••••••••• I••• | C•••• I••••••••• S••••••• C•••• | May 18, 2009 | Jun 30, 2009 | 43 | Firm change | Other |
| W•••• F•••• A••••••• | O•••• I••••••••• I••• | May 19, 2006 | May 22, 2006 | 3 | Firm change | Other |