DFX Intelligence
Reading the graph
Reading the graph
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Advisor at J•••••• • C••• L••
NEW ORLEANS, LA
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 |
|---|---|---|---|---|---|---|
| J•••••• • C••• L•• | State registered | Feb 13, 2015 | n/a | yes | NEW ORLEANS, LA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 9, 2010 | Feb 17, 2015 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | J•••••• • C••• L•• | Feb 17, 2015 | Feb 13, 2015 | -4 | Firm change | Wirehouse to state RIA |
| W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Nov 16, 2010 |
| W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• | State registered | Mar 2, 2010 | Nov 16, 2010 | no | n/a | Previous registration |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Aug 5, 2009 | Nov 11, 2010 | no | HOUSTON, TX | Previous registration |
| -7 |
| Firm change |
| Other |
| H•••••• T••••••• • K•••• L•• | W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• | Nov 11, 2010 | Mar 2, 2010 | -254 | Firm change after gap | Other |