DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••••• A•••••••• L••
Vestal, NY
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 |
|---|---|---|---|---|---|---|
| F•••••••• A•••••••• L•• | Independent wealth | Aug 21, 2024 | n/a | yes | Vestal, NY | Current employment |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 28, 2011 | Sep 28, 2012 | no | JOHNSON CITY, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• F•••••••• S•••••••• I••• | F•••••••• A•••••••• L•• | Sep 28, 2012 | Aug 21, 2024 | 4,345 | Firm change after gap | Other |
| N••••••••• S••••••••• L•• | M•• F•••••••• S•••••••• I••• | Sep 22, 2011 | Oct 28, 2011 |
| N••••••••• S••••••••• L•• | No RAUM reported | Jan 24, 2011 | Sep 22, 2011 | no | NORWICH, NY | Previous registration |
| Q•••••• A•••• M••••••••• I••• | Former SEC adviser | Jan 25, 2008 | Nov 11, 2009 | no | MINNEAPOLIS, MN | Previous registration |
| 36 |
| Firm change |
| Other |
| Q•••••• A•••• M••••••••• I••• | N••••••••• S••••••••• L•• | Nov 11, 2009 | Jan 24, 2011 | 439 | Firm change after gap | Other |