DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Middleton, MA | Smithfield, RI
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 30, 2024 | n/a | yes | Middleton, MA|Smithfield, RI | Current employment |
| S•••••••• S••••••••• | Bd affiliated wealth | Sep 26, 2012 | Dec 17, 2012 | no | METHUEN, MA|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• S••••••••• | A••••••••• F•••••••• S•••••••• L•• | Dec 17, 2012 | Jul 30, 2024 | 4,243 | Firm change after gap | Other |
| L•• F•••••••• L•• | S•••••••• S••••••••• | Sep 19, 2012 | Sep 26, 2012 |
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 5, 2012 | Sep 19, 2012 | no | METHUEN, MA | Previous registration |
| E•••••••• P•••••••• S••••••••• I••• | Independent wealth | Aug 18, 2011 | Dec 20, 2011 | no | BERWYN, PA | Previous registration |
| P••••• I••••••••• M••••••••• L•• | Asset manager | Aug 7, 2008 | Feb 18, 2009 | no | BOSTON, MA | Previous registration |
| 7 |
| Bulk transfer |
| Other |
| E•••••••• P•••••••• S••••••••• I••• | L•• F•••••••• L•• | Dec 20, 2011 | Jun 5, 2012 | 168 | Firm change | Other |
| P••••• I••••••••• M••••••••• L•• | E•••••••• P•••••••• S••••••••• I••• | Feb 18, 2009 | Aug 18, 2011 | 911 | Firm change after gap | Other |