DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at ALLWORTH FINANCIAL, L.P.
Corte Madera, CA | FOLSOM, 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 |
|---|---|---|---|---|---|---|
| ALLWORTH FINANCIAL, L.P. | Bd affiliated wealth | Dec 10, 2024 | n/a | yes | FOLSOM, CA|Corte Madera, CA | Current employment |
| YELLOWBRICKROAD FINANCIAL ADVISORS, LLC | Former SEC adviser | Jun 22, 2016 | Apr 2, 2020 | no | CORTE MADERA, CA | Previous registration |
| THE KOCEN FINANCIAL GROUP, INC. | Independent wealth | Jan 19, 2010 | Jul 21, 2015 | no | RANCHO MIRAGE, CA | Previous registration |
| EDWARD JONES | National bd RIA | Mar 30, 2007 | Feb 14, 2008 | no | ST LOUIS, MO|LA QUINTA, CA|PALM SPRINGS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| YELLOWBRICKROAD FINANCIAL ADVISORS, LLC | ALLWORTH FINANCIAL, L.P. | Apr 2, 2020 | Dec 10, 2024 | 1,713 | Firm change after gap | RIA to ibd |
| THE KOCEN FINANCIAL GROUP, INC. | YELLOWBRICKROAD FINANCIAL ADVISORS, LLC | Jul 21, 2015 | Jun 22, 2016 | 337 | Firm change | Other |
| EDWARD JONES | THE KOCEN FINANCIAL GROUP, INC. | Feb 14, 2008 | Jan 19, 2010 | 705 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134209:111167:CA:2020-04-02 | Apr 2, 2020 | Dec 10, 2024 | CORTE MADERA, CA | Firm change after gap |