DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
HIKO, NV
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 | Jun 14, 2024 | n/a | yes | HIKO, NV | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | May 20, 2024 | Jun 14, 2024 | no | HIKO, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| N••• C••••••••• | S••••••••• A•••••• A•••••••• I••• | May 16, 2024 | May 20, 2024 |
| N••• C••••••••• | Bd affiliated wealth | Mar 28, 2018 | May 16, 2024 | no | HIKO, NV|BOCA RATON, FL | Previous registration |
| M•• C•••••• A••••••• L•• | Independent wealth | Jan 12, 2018 | Mar 20, 2018 | no | HIKO, NV|SCOTTSDALE, AZ | Previous registration |
| G•••••••• F•••••••• N••••••• L•• | Independent wealth | Feb 2, 2017 | Jan 17, 2018 | no | HIKO, NV | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Sep 26, 2011 | Dec 22, 2016 | no | LAS VEGAS, NV|HIKO, NV|HIKO, NV | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Sep 29, 2011 | no | Las Vegas, NV|HIKO, NV | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | LAS VEGAS, NV | Previous registration |
| M••••• S•••••• D• I••• | n/a | Mar 15, 2006 | Apr 2, 2007 | no | LAS VEGAS, NV | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Aug 3, 1999 | Feb 23, 2006 | no | Los Angeles, CA|LOS ANGELES, CA | Previous registration |
| 4 |
| Firm change |
| Ibd to ibd |
| M•• C•••••• A••••••• L•• | N••• C••••••••• | Mar 20, 2018 | Mar 28, 2018 | 8 | Firm change | Other |
| G•••••••• F•••••••• N••••••• L•• | M•• C•••••• A••••••• L•• | Jan 17, 2018 | Jan 12, 2018 | -5 | Firm change | RIA to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | G•••••••• F•••••••• N••••••• L•• | Dec 22, 2016 | Feb 2, 2017 | 42 | Firm change | Wirehouse to RIA |
| M••••• S•••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Sep 29, 2011 | Sep 26, 2011 | -3 | Firm change | Wirehouse to wirehouse |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| J••• M••••• S••••••••• L•• | M••••• S•••••• D• I••• | Feb 23, 2006 | Mar 15, 2006 | 20 | Firm change | Other |