DFX Intelligence
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Reading the graph
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Advisor at M•••••••• W••••• A•••••••• L••
FARMINGTON, CT
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•••••••• W••••• A•••••••• L•• | Independent wealth | Jan 31, 2011 | n/a | yes | FARMINGTON, CT | Current employment |
| M••••• W••••• P•••••••• L•• | Former SEC adviser | Mar 19, 2010 | Apr 6, 2011 | no | PAOLI, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• W••••• P•••••••• L•• | M•••••••• W••••• A•••••••• L•• | Apr 6, 2011 | Jan 31, 2011 | -65 | Firm change after gap | Other |
| M••••• S•••••• | M••••• W••••• P•••••••• L•• | Apr 14, 2010 | Mar 19, 2010 |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Apr 14, 2010 | no | West Hartford, CT | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Oct 1, 2004 | Jun 1, 2009 | no | WEST HARTFORD, CT|HARTFORD, CT | Previous registration |
| A•••••• I••• | n/a | Oct 22, 1997 | Oct 29, 2004 | no | HARTFORD, CT | Previous registration |
| -26 |
| Firm change |
| Other |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| A•••••• I••• | C•••••••• G••••• M•••••• I••• | Oct 29, 2004 | Oct 1, 2004 | -28 | Firm change | Other |