DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
CARLISLE, 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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | CARLISLE, PA | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 2, 2020 | Jun 14, 2024 | no | CARLISLE, PA|CARLISLE, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| S••••• A••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jan 2, 2020 | Jan 2, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 174182:110518:AL:2019-12-24 | Jan 2, 2020 | Jan 2, 2020 | BIRMINGHAM, AL | Firm change |
| S••••• A••••••• I••• | Bd affiliated wealth | Jan 30, 2015 | Jan 2, 2020 | no | Carlisle, PA|BIRMINGHAM, AL | Previous registration |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | Former SEC adviser | Jan 12, 2010 | Jan 30, 2015 | no | WINDSOR LOCKS, CT|Carlisle, PA|YOUNGSTOWN, OH | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 19, 2008 | Jan 12, 2010 | no | MECHANICSBURG, PA|HARRISBURG, PA | Previous registration |
| G••••••• A•••• A•••••••• L•• | Independent wealth | Nov 8, 2007 | Jan 14, 2010 | no | MECHANICSBURG, PA | Previous registration |
| 0 |
| Firm change |
| Ibd to ibd |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | S••••• A••••••• I••• | Jan 30, 2015 | Jan 30, 2015 | 0 | Bulk transfer | Other |
| G••••••• A•••• A•••••••• L•• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Jan 14, 2010 | Feb 19, 2008 | -695 | Firm change after gap | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | S••••• A••• I••••••••• A•••••• S•••••••• I••• | Jan 12, 2010 | Jan 12, 2010 | 0 | Firm change | Other |