DFX Intelligence
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Reading the graph
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Advisor at S••••• F••••••••• L••
RED BANK, NJ
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 |
|---|---|---|---|---|---|---|
| S••••• F••••••••• L•• | Bd affiliated wealth | Jan 3, 2019 | n/a | yes | RED BANK, NJ | Current employment |
| S••••• F•••••••• R•••••••• I•• | Former SEC adviser | Apr 10, 2014 | Sep 20, 2018 | no | PARSIPPANY, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• E••••••• I•• | S••••• F•••••••• R•••••••• I•• | Dec 27, 2018 | Apr 10, 2014 | -1,722 | Bulk transfer | Other |
| S••••• F•••••••• R•••••••• I•• | S••••• F••••••••• L•• | Sep 20, 2018 | Jan 3, 2019 |
| S••••• E••••••• I•• | Former SEC adviser | Apr 8, 2014 | Dec 27, 2018 | no | PARSIPPANY, NJ|PARSIPPANY, NJ|RED BANK, NJ | Previous registration |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Sep 21, 2006 | Apr 8, 2014 | no | SHREWSBURY, NJ | Previous registration |
| 105 |
| Bulk transfer |
| Other |
| N••••••••• M••••• I••••••••• S••••••••• | S••••• E••••••• I•• | Apr 8, 2014 | Apr 8, 2014 | 0 | Firm change | Other |