DFX Intelligence
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Reading the graph
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Advisor at S•• F••••••••• L••
BUFFALO GROVE, IL
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•• F••••••••• L•• | Independent wealth | Jun 13, 2022 | n/a | yes | BUFFALO GROVE, IL | Current employment |
| F•••• T•••• S••••••••• I••• | Bd affiliated wealth | Sep 5, 2019 | Sep 7, 2021 | no | PALATINE, IL|PALATINE, IL|BUFFALO GROVE, IL|WHEELING, IL|ROSEMONT, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• T•••• S••••••••• I••• | S•• F••••••••• L•• | Sep 7, 2021 | Jun 13, 2022 | 279 | Firm change | Ibd to RIA |
| C••••• I••••••••• A••••••• L•• | F•••• T•••• S••••••••• I••• | Mar 20, 2019 | Sep 5, 2019 |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Mar 20, 2019 | no | NORTHBROOK, IL|Lincolnwood, IL | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Dec 6, 2013 | Jan 21, 2014 | no | DOWNERS GROVE, IL|LINCOLNSHIRE, IL|SCHAUMBURG, IL|DEERFIELD, IL|NORTHBROOK, IL|Lincolnwood, IL|Lincolnshire, IL | Previous registration |
| 169 |
| Firm change |
| Ibd to ibd |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |