DFX Intelligence
Reading the graph
Reading the graph
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Advisor at J••• M••••• S••••••••• L••
BAY POINT, CA | ANTIOCH, 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 |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | Wirehouse | Sep 9, 2016 | n/a | yes | ANTIOCH, CA|BAY POINT, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jan 15, 2013 | Sep 8, 2016 | no | SAN LEANDRO, CA|LIVERMORE, CA|SAN LEANDRO, CA|SAN LEANDRO, CA|CONCORD, CA|PLEASANT HILL, CA|WALNUT CREEK, CA|CONCORD, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | J••• M••••• S••••••••• L•• | Sep 8, 2016 | Sep 9, 2016 | 1 | Firm change | Wirehouse to wirehouse |
| T••••••••• F•••••••• A•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 29, 2010 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:79:CA:2016-09-08 | Sep 8, 2016 | Sep 9, 2016 | CONCORD, CA | Firm change |
| Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Apr 7, 2010 | Apr 29, 2010 | no | PINOLE, CA|ARCADIA, CA|RICHMOND, CA | Previous registration |
| N••••••••• S••••••••• L•• | No RAUM reported | Nov 3, 2008 | Dec 19, 2008 | no | WALNUT CREEK, CA | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Mar 7, 2005 | Nov 22, 2006 | no | Walnut Creek, CA|WALNUT CREEK, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 3, 2004 | Aug 20, 2004 | no | WALNUT CREEK, CA | Previous registration |
| 992 |
| Firm change after gap |
| Other |
| N••••••••• S••••••••• L•• | T••••••••• F•••••••• A•••••••• L•• | Dec 19, 2008 | Apr 7, 2010 | 474 | Firm change after gap | Other |
| R•• C•••••• M••••••• L•• | N••••••••• S••••••••• L•• | Nov 22, 2006 | Nov 3, 2008 | 712 | Firm change after gap | Ibd to new firm |
| A••••••••• F•••••••• S•••••••• L•• | R•• C•••••• M••••••• L•• | Aug 20, 2004 | Mar 7, 2005 | 199 | Firm change | Ibd to ibd |