DFX Intelligence
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Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
Irvine, CA | Rolling Hills Estates, CA
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 |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Apr 17, 2008 | n/a | yes | Rolling Hills Estates, CA|Irvine, CA | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Mar 24, 2006 | Jan 9, 2008 | no | Santa Monica, CA|SANTA MONICA, CA|SANTA MONICA, CA|SANTA MONICA, CA|Pacific Palisades, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Jan 9, 2008 | Apr 17, 2008 | 99 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | U••• B•••••• I••••••••• I••• | Mar 27, 2006 | Mar 24, 2006 |
| Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 2, 2002 | Mar 27, 2006 | no | LOS ANGELES, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Sep 10, 2001 | Oct 30, 2002 | no | CENTURY CITY, CA | Previous registration |
| -3 |
| Firm change |
| Other |
| W•••• F•••• A••••••• | A••••••••• F•••••••• S•••••••• L•• | Oct 30, 2002 | Dec 2, 2002 | 33 | Firm change | Wirehouse to ibd |