DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A•••••••• L••
GLENDALE, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A•••••••• L•• | Bd affiliated wealth | Sep 9, 2022 | n/a | yes | GLENDALE, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 23, 2016 | Sep 12, 2022 | no | LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• A•••••••• L•• | Sep 12, 2022 | Sep 9, 2022 | -3 | Firm change | Wirehouse to ibd |
| M••••••• A•••• M••••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Feb 11, 2013 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:226606:CA:2022-09-12 | Sep 12, 2022 | Sep 9, 2022 | LOS ANGELES, CA | Firm change |
| M••••••• A•••• M••••••••• L•• | Former SEC adviser | Jul 11, 2007 | Feb 11, 2013 | no | LOS ANGELES, CA | Previous registration |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Jul 15, 2003 | Jul 28, 2004 | no | IRVINE, CA | Previous registration |
| 1,107 |
| Firm change after gap |
| Other |
| G•••••• S•••• W••••• S•••••••• L••• | M••••••• A•••• M••••••••• L•• | Jul 28, 2004 | Jul 11, 2007 | 1,078 | Firm change after gap | Other |