DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at P••••••
SHELTON, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| P•••••• | Mixed wealth | Jun 14, 2017 | n/a | yes | SHELTON, CT | Current employment |
| P•••••• I••••••••• P•••••••• L•• | Former SEC adviser | Apr 19, 2018 | Dec 31, 2021 | no | SHELTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• I••••••••• P•••••••• L•• | n/a | Dec 31, 2021 | n/a | n/a | Departure no registered destination | Departure |
| U•• F•••••••• S••••••• I••• | P•••••• | Jun 28, 2017 | Jun 14, 2017 | -14 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:288239:CT:2017-06-28 | Jun 28, 2017 | Jun 14, 2017 | STAMFORD, CT | Firm change |
| U•• F•••••••• S••••••• I••• |
| Wirehouse |
| Apr 24, 2009 |
| Jun 28, 2017 |
| no |
| STAMFORD, CT |
| Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 11, 2005 | May 1, 2009 | no | FAIRFIELD, CT|FAIRFIELD, CT | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jan 8, 2002 | Apr 12, 2005 | no | NEW HAVEN, CT | Previous registration |
| Wirehouse to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | May 1, 2009 | Apr 24, 2009 | -7 | Firm change | Wirehouse to wirehouse |
| M••••• S•••••• D• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 12, 2005 | Apr 11, 2005 | -1 | Firm change | Other |