DFX Intelligence
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Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Peoria,, AZ | Glendale,, AZ
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•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Mar 11, 2022 | n/a | yes | Glendale,, AZ|Peoria,, AZ | Current employment |
| F•••• F•••••••• E••••• C••••••••• | Former SEC adviser | Jun 26, 2012 | Apr 1, 2022 | no | Glendale, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• F•••••••• E••••• C••••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Apr 1, 2022 | Mar 11, 2022 | -21 | Firm change | Ibd to ibd |
| W•••••• • R••• | F•••• F•••••••• E••••• C••••••••• | May 7, 2012 | Jun 26, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 16507:134139:AZ:2022-04-01 | Apr 1, 2022 | Mar 11, 2022 | G•••DALE, AZ | Firm change |
| W•••••• • R••• | Former SEC adviser | Jan 13, 2010 | May 7, 2012 | no | SCOTTSDALE, AZ|PEORIA, AZ | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | May 23, 2006 | Jan 15, 2010 | no | PEORIA, AZ|PEORIA, AZ | Previous registration |
| 50 |
| Firm change |
| Other |
| R•• C•••••• M••••••• L•• | W•••••• • R••• | Jan 15, 2010 | Jan 13, 2010 | -2 | Firm change | Other |