DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
WAYNE, 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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | n/a | yes | WAYNE, PA | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 30, 2017 | Jan 19, 2024 | no | WAYNE, PA|WAYNE, PA|WEXFORD, PA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| C••••••• S••••••••• I••• | W••••••• F•••••••• S•••••••• I••• | Sep 12, 2017 | Oct 30, 2017 |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Jun 4, 2015 | Sep 12, 2017 | no | BRYN MAWR, PA|WAYNE, PA|ALDAN, PA|BLUE BELL, PA|CONSHOHOCKEN, PA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 4, 2011 | Jun 1, 2015 | no | GLADWYNE, PA|ARDMORE, PA|PHILADELPHIA, PA|ORLANDO, FL|BRYN MAWR, PA|DEVON, PA|PHILADELPHIA, PA|DEVON, PA | Previous registration |
| F•••••••• F•••••••• A••••••• | State registered | Sep 8, 2004 | Jun 1, 2015 | no | PHILADELPHIA, PA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Feb 5, 2004 | Feb 10, 2011 | no | PHILADELPHIA, PA|BRYN MAWR, PA|PHILADELPHIA, PA|DEVON, PA|GLADWYNE, PA | Previous registration |
| 48 |
| Firm change |
| Other |
| F•••••••• F•••••••• A••••••• | M•• F•••••••• S•••••••• I••• | Jun 1, 2015 | Feb 4, 2011 | -1,578 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | C••••••• S••••••••• I••• | Jun 1, 2015 | Jun 4, 2015 | 3 | Firm change | Other |
| E•••••••• A•••••••• L•• | F•••••••• F•••••••• A••••••• | Feb 10, 2011 | Sep 8, 2004 | -2,346 | Firm change after gap | Ibd to state RIA |