DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• A••••••• S•••••••• L••
Jonesboro, AR | DALLAS, 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 |
|---|---|---|---|---|---|---|
| C•••••• A••••••• S•••••••• L•• | Independent wealth | Jan 1, 2026 | n/a | yes | Jonesboro, AR|DALLAS, TX | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 4, 2020 | Sep 1, 2023 | no | JONESBORO, AR|PALATINE, IL|JONESBORO, AR |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | C•••••• A••••••• S•••••••• L•• | Sep 1, 2023 | Jan 1, 2026 | 853 | Firm change after gap | Ibd to RIA |
| A••••••••• F•••••••• S•••••••• L•• | L•• F•••••••• L•• | Jul 30, 2020 | Aug 4, 2020 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 13, 2018 | Jul 30, 2020 | no | Jonesboro, AR | Previous registration |
| I••••••••• P••••••••• I••• | Former SEC adviser | Dec 12, 2014 | Sep 25, 2018 | no | JONESBORO, AR|Jonesboro, AR|SAN ANTONIO, TX|JONESBORO, AR|LITTLE ROCK, AR|SAN ANTONIO, TX | Previous registration |
| B••••••••• W••••• A•••••••• L•• | No RAUM reported | Jun 2, 2014 | Mar 9, 2015 | no | SIKESTON, MO | Previous registration |
| W• • M• C•••••• M••••••••• L•• | n/a | Jan 6, 2014 | Dec 31, 2014 | no | SIKESTON, MO | Previous registration |
| M••• S••••• A•••••••• L•• | Former SEC adviser | Jan 6, 2011 | Jan 3, 2014 | no | SIKESTON, MO|HAYS, KS | Previous registration |
| Q•••••• A•••• M••••••••• I••• | Former SEC adviser | Jan 5, 2009 | Jan 6, 2011 | no | MINNEAPOLIS, MN | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | May 2, 2007 | Dec 31, 2008 | no | CAPE GIRARDEAU, MO|CARMEL, IN|CAPE GIRARDEAU, MO | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Apr 20, 1999 | May 2, 2007 | no | SIKESTON, MO|SIKESTON, MO | Previous registration |
| 5 |
| Firm change |
| Ibd to ibd |
| I••••••••• P••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Sep 25, 2018 | Jul 13, 2018 | -74 | Bulk transfer | Ibd to ibd |
| B••••••••• W••••• A•••••••• L•• | I••••••••• P••••••••• I••• | Mar 9, 2015 | Dec 12, 2014 | -87 | Firm change after gap | Other |
| W• • M• C•••••• M••••••••• L•• | B••••••••• W••••• A•••••••• L•• | Dec 31, 2014 | Jun 2, 2014 | -212 | Firm change after gap | Other |
| M••• S••••• A•••••••• L•• | W• • M• C•••••• M••••••••• L•• | Jan 3, 2014 | Jan 6, 2014 | 3 | Firm change | Other |
| Q•••••• A•••• M••••••••• I••• | M••• S••••• A•••••••• L•• | Jan 6, 2011 | Jan 6, 2011 | 0 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | Q•••••• A•••• M••••••••• I••• | Dec 31, 2008 | Jan 5, 2009 | 5 | Firm change | Other |
| C••••• A•••••• N••••••• L•• | T••••••••• F•••••••• A•••••••• L•• | May 2, 2007 | May 2, 2007 | 0 | Firm change | Other |