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Reading the graph
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Advisor at A•••• A••••••• L••
SAINT CHARLES, MO
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 |
|---|---|---|---|---|---|---|
| A•••• A••••••• L•• | Independent wealth | Oct 29, 2024 | n/a | yes | SAINT CHARLES, MO | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Apr 1, 2011 | Jul 16, 2025 | no | ST PETERS, MO|Saint Charles, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | A•••• A••••••• L•• | Jul 16, 2025 | Oct 29, 2024 | -260 | Firm change after gap | Other |
| P••••••••• S••••••••• C••••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Apr 4, 2011 | Apr 1, 2011 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134139:330006:MO:2025-07-14 | Jul 16, 2025 | Oct 29, 2024 | SAINT CHARLES, MO | Firm change after gap |
| P••••••••• S••••••••• C••••••••• | Independent wealth | Aug 27, 2008 | Apr 4, 2011 | no | ST PETERS, MO|Carpinteria, CA|ST PETERS, MO | Previous registration |
| R••••••••• I••••• A•••••••• L•• | n/a | May 15, 2006 | Oct 28, 2008 | no | ST. PETERS, MO | Previous registration |
| S••••••• C••••••• L•• | n/a | Apr 26, 2006 | May 15, 2006 | no | ST. PETERS, MO|ST. PETERS, MO | Previous registration |
| G•••••• F•••••••• A•••••••• I••• | n/a | Jun 28, 2004 | Oct 31, 2006 | no | ST. PETERS, MO | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Dec 1, 2003 | May 2, 2006 | no | ST. PETERS, MO|ST. PETERS, MO | Previous registration |
| V••••• S••••••••• C••••••••• | n/a | Jul 24, 2001 | Dec 12, 2003 | no | OVERLAND PARK, KS | Previous registration |
| -3 |
| Firm change |
| Other |
| R••••••••• I••••• A•••••••• L•• | P••••••••• S••••••••• C••••••••• | Oct 28, 2008 | Aug 27, 2008 | -62 | Firm change after gap | Other |
| G•••••• F•••••••• A•••••••• I••• | S••••••• C••••••• L•• | Oct 31, 2006 | Apr 26, 2006 | -188 | Firm change after gap | Other |
| S••••••• C••••••• L•• | R••••••••• I••••• A•••••••• L•• | May 15, 2006 | May 15, 2006 | 0 | Firm change | Other |
| F•• S••••••••• C••••••••• | G•••••• F•••••••• A•••••••• I••• | May 2, 2006 | Jun 28, 2004 | -673 | Firm change after gap | Other |
| V••••• S••••••••• C••••••••• | F•• S••••••••• C••••••••• | Dec 12, 2003 | Dec 1, 2003 | -11 | Firm change | Other |