DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••• P•••••••
GLASTONBURY, 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 |
|---|---|---|---|---|---|---|
| S••••••• P••••••• | Independent wealth | Sep 16, 2025 | n/a | yes | GLASTONBURY, CT | Current employment |
| I••••••••• A••••• I••••••••• M••••••••• L•• | Bd affiliated wealth | Sep 27, 2023 | Jun 16, 2025 | no | ROCKY HILL, CT|Rocky Hill, CT|ORLANDO, FL|Rocky Hill, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• A••••• I••••••••• M••••••••• L•• | S••••••• P••••••• | Jun 16, 2025 | Sep 16, 2025 | 92 | Firm change | Ibd to RIA |
| A••••••••• F•••••••• S•••••••• L•• | I••••••••• A••••• I••••••••• M••••••••• L•• | Jun 28, 2023 | Sep 27, 2023 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 31, 2023 | Jun 28, 2023 | no | Glastonbury, CT | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 11, 2011 | Apr 25, 2023 | no | EAST WINDSOR, CT|ENFIELD, CT|EAST LONGMEADOW, MA|VERNON, CT|ENFIELD, CT|SOMERS, CT|LONGMEADOW, MA | Previous registration |
| U•••• F•••••••• S••••••• G••••• I••• | n/a | Feb 13, 2007 | Oct 11, 2011 | no | WINDSOR, CT|EAST WINDSOR, CT|VERNON, CT|SPRINGFIELD, MA|ENFIELD, CT|ENFIELD, CT|SOMERS, CT|VERNON, CT|EAST LONGMEADOW, MA|EAST LONGMEADOW, MA | Previous registration |
| W•••••• I••••••••• S•••••••• I••• | n/a | Mar 4, 2005 | Feb 13, 2007 | no | ESSEX, CT|SPRINGFIELD, MA|ENFIELD, CT|ENFIELD, CT|ENFIELD, CT|VERNON, CT|WESTFIELD, MA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Dec 17, 2001 | Jan 18, 2005 | no | HARTFORD, CT | Previous registration |
| 91 |
| Firm change |
| Ibd to ibd |
| L•• F•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Apr 25, 2023 | Mar 31, 2023 | -25 | Firm change | Ibd to ibd |
| U•••• F•••••••• S••••••• G••••• I••• | L•• F•••••••• L•• | Oct 11, 2011 | Oct 11, 2011 | 0 | Bulk transfer | Other |
| W•••••• I••••••••• S•••••••• I••• | U•••• F•••••••• S••••••• G••••• I••• | Feb 13, 2007 | Feb 13, 2007 | 0 | Firm change | Other |
| W•••••• • R••• | W•••••• I••••••••• S•••••••• I••• | Jan 18, 2005 | Mar 4, 2005 | 45 | Firm change | Other |