DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••• W••••• A•••••••
ROWLETT, TX
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 |
|---|---|---|---|---|---|---|
| N•••••• W••••• A••••••• | State registered | Aug 5, 2016 | n/a | yes | ROWLETT, TX | Current employment |
| B••••••••• C•••••• M••••••••• L•• | Independent wealth | Apr 8, 2014 | Aug 10, 2016 | no | ROCKWALL, TX|WHEATON, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••••• C•••••• M••••••••• L•• | N•••••• W••••• A••••••• | Aug 10, 2016 | Aug 5, 2016 | -5 | Firm change | Other |
| L•••• I•• R•••••• G••• | B••••••••• C•••••• M••••••••• L•• | May 14, 2014 | Apr 8, 2014 |
| L•••• I•• R•••••• G••• | n/a | Mar 30, 2012 | May 14, 2014 | no | ROCKWALL, TX | Previous registration |
| V•••••••• F••••••••• L•• | Former SEC adviser | Sep 3, 2010 | Mar 16, 2012 | no | DALLAS, TX|AUSTIN, TX|AUSTIN, TX|ROCKWALL, TX|ROCKWALL, TX | Previous registration |
| U•• F•••••••• S••••••••• L•• | Independent wealth | May 24, 2010 | Sep 7, 2010 | no | DALLAS, TX|ADA, MI|DALLAS, TX | Previous registration |
| -36 |
| Firm change after gap |
| Other |
| V•••••••• F••••••••• L•• | L•••• I•• R•••••• G••• | Mar 16, 2012 | Mar 30, 2012 | 14 | Firm change | Other |
| U•• F•••••••• S••••••••• L•• | V•••••••• F••••••••• L•• | Sep 7, 2010 | Sep 3, 2010 | -4 | Firm change | Other |