DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
LA QUINTA, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 28, 2022 | n/a | yes | LA QUINTA, CA | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Nov 13, 2015 | Sep 22, 2022 | no | Indian Wells, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | L•• F•••••••• L•• | Sep 22, 2022 | Sep 28, 2022 | 6 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | C•••••• S••••• • C••• I••• | Oct 21, 2015 | Nov 13, 2015 |
| S•••••••• A••••••• L•• | National bd RIA | Sep 8, 2015 | Oct 21, 2015 | no | PALM DESERT, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Jul 18, 2007 | Aug 5, 2015 | no | Seattle, WA|Indian Wells, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | May 29, 2006 | Jul 9, 2007 | no | MURRIETA, CA|MURRIETA, CA|INDIO, CA|RANCHO MIRAGE, CA|PALM DESERT, CA|PALM SPRINGS, CA | Previous registration |
| 23 |
| Firm change |
| Ibd to ibd |
| C•••••• S••••• • C••• I••• | S•••••••• A••••••• L•• | Aug 5, 2015 | Sep 8, 2015 | 34 | Firm change | Ibd to ibd |
| W•••• F•••• I••••••••• L•• | C•••••• S••••• • C••• I••• | Jul 9, 2007 | Jul 18, 2007 | 9 | Firm change | Other |