DFX Intelligence
Reading the graph
Reading the graph
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Advisor at Q••••• P••••••• I••••••••• M•••••••••
SARATOGA SPRINGS, 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 |
|---|---|---|---|---|---|---|
| Q••••• P••••••• I••••••••• M••••••••• | Independent wealth | Jan 27, 2015 | n/a | yes | SARATOGA SPRINGS, NY | Current employment |
| E•••• W••••• M••••••••• L•• | Former SEC adviser | Aug 3, 2022 | Dec 31, 2023 | no | SARATOGA SPRINGS, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••• W••••• M••••••••• L•• | n/a | Dec 31, 2023 | n/a | n/a | Departure no registered destination | Departure |
| P•••••• F••••••••• I••• | Q••••• P••••••• I••••••••• M••••••••• | Dec 23, 2014 | Jan 27, 2015 | 35 |
| P•••••• F••••••••• I••• | Former SEC adviser | Jan 13, 2012 | Dec 23, 2014 | no | GLENS FALLS, NY | Previous registration |
| C••••• S••••••••• L•• | n/a | Nov 3, 2009 | Apr 25, 2011 | no | SEATTLE, WA | Previous registration |
| T••••••••• F•••••••• G••••• I•• | n/a | Oct 22, 2009 | Nov 10, 2009 | no | HOOD RIVER, OR | Previous registration |
| Firm change |
| Other |
| C••••• S••••••••• L•• | P•••••• F••••••••• I••• | Apr 25, 2011 | Jan 13, 2012 | 263 | Firm change | Other |
| T••••••••• F•••••••• G••••• I•• | C••••• S••••••••• L•• | Nov 10, 2009 | Nov 3, 2009 | -7 | Firm change | Other |