DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I• F•••••••• A••••••• S••••••• L••
Palm Harbor, FL | CHARLOTTE, NC
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 |
|---|---|---|---|---|---|---|
| I• F•••••••• A••••••• S••••••• L•• | Independent wealth | Feb 14, 2024 | n/a | yes | Palm Harbor, FL|CHARLOTTE, NC | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Nov 2, 2018 | Mar 5, 2024 | no | PALM HARBOR, FL|INVERNESS, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | I• F•••••••• A••••••• S••••••• L•• | Mar 5, 2024 | Feb 14, 2024 | -20 | Firm change | Ibd to ibd |
| S••••••• I••••••••• I••• | O•••• W•••••• I••• | Nov 2, 2018 | Nov 2, 2018 |
| S••••••• I••••••••• I••• | Former SEC adviser | Dec 28, 2015 | Nov 2, 2018 | no | PALM HARBOR, FL | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | May 8, 2015 | Dec 28, 2015 | no | Tampa, FL|BLUE RIDGE, GA | Previous registration |
| C••••• A••••••• G••••• L•• | Independent wealth | Nov 7, 2011 | May 14, 2015 | no | CLEARWATER, FL | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Oct 24, 2011 | May 11, 2015 | no | CLEARWATER, FL | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Jul 26, 2011 | Sep 13, 2011 | no | TAMPA, FL | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 21, 2008 | Jul 22, 2011 | no | CLEARWATER, FL | Previous registration |
| F•••• C•••••• F•••••••• P•••••••• I••• | Former SEC adviser | Jul 31, 2008 | Dec 11, 2008 | no | Tampa, FL|PALM HARBOR, FL|Tampa, FL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S••••••• F•••••••• S•••••••• I••• | S••••••• I••••••••• I••• | Dec 28, 2015 | Dec 28, 2015 | 0 | Bulk transfer | Other |
| C••••• A••••••• G••••• L•• | S••••••• F•••••••• S•••••••• I••• | May 14, 2015 | May 8, 2015 | -6 | Firm change | Other |
| F•• S••••••••• C••••••••• | C••••• A••••••• G••••• L•• | May 11, 2015 | Nov 7, 2011 | -1,281 | Firm change after gap | Other |
| M••••• K••••• • C••••••• L•• | F•• S••••••••• C••••••••• | Sep 13, 2011 | Oct 24, 2011 | 41 | Firm change | Other |
| L•• F•••••••• L•• | M••••• K••••• • C••••••• L•• | Jul 22, 2011 | Jul 26, 2011 | 4 | Firm change | Other |
| F•••• C•••••• F•••••••• P•••••••• I••• | L•• F•••••••• L•• | Dec 11, 2008 | Nov 21, 2008 | -20 | Firm change | Other |