DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••••• A•••••••• L••
MOUNT JOY, 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 |
|---|---|---|---|---|---|---|
| S••••••••• A•••••••• L•• | Independent wealth | Nov 14, 2018 | n/a | yes | MOUNT JOY, PA | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 14, 2012 | Dec 22, 2017 | no | Elizabethtown, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | S••••••••• A•••••••• L•• | Dec 22, 2017 | Nov 14, 2018 | 327 | Firm change | Ibd to RIA |
| R•• C•••••• M••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | May 3, 2012 | Jun 14, 2012 |
| R•• C•••••• M••••••• L•• | National bd RIA | Jun 11, 2009 | May 3, 2012 | no | LEMOYNE, PA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jun 22, 2009 | no | CAMP HILL, PA | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Apr 17, 2008 | Jun 1, 2009 | no | CAMP HILL, PA|NEW YORK, NY|CAMP HILL, PA | Previous registration |
| 42 |
| Firm change |
| Ibd to ibd |
| M••••• S•••••• | R•• C•••••• M••••••• L•• | Jun 22, 2009 | Jun 11, 2009 | -11 | Firm change | Wirehouse to ibd |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |