DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
MARYSVILLE, 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 | Oct 5, 2022 | n/a | yes | MARYSVILLE, CA | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Nov 12, 2020 | Oct 12, 2022 | no | LINCOLN, CA|Rocklin, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | L•• F•••••••• L•• | Oct 12, 2022 | Oct 5, 2022 | -7 | Firm change | Ibd to RIA |
| F•••• A••••• A••••••• S•••••••• I••• | C••••• I••••••••• A••••••• L•• | Nov 12, 2020 | Nov 12, 2020 |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jul 2, 2012 | Nov 12, 2020 | no | CHESTERFIELD, MO|ROSEVILLE, CA|LINCOLN, CA | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Sep 1, 2009 | Jul 2, 2012 | no | SAN DIEGO, CA|SAN DIEGO, CA|Rocklin, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 22, 2009 | Sep 17, 2009 | no | ROSEVILLE, CA|SACRAMENTO, CA | Previous registration |
| B•• F••••••••• I••• | State registered | Sep 20, 2005 | Apr 16, 2008 | no | ROSEVILLE, CA | Previous registration |
| B•• F•••••••• | n/a | Apr 8, 2004 | Oct 19, 2005 | no | ROSEVILLE, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| F•••• A••••• S••••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |
| M•• F•••••••• S•••••••• I••• | F•••• A••••• S••••••••• I••• | Sep 17, 2009 | Sep 1, 2009 | -16 | Firm change | Other |
| B•• F••••••••• I••• | M•• F•••••••• S•••••••• I••• | Apr 16, 2008 | Jan 22, 2009 | 281 | Firm change | Other |
| B•• F•••••••• | B•• F••••••••• I••• | Oct 19, 2005 | Sep 20, 2005 | -29 | Firm change | Other |