DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• C•••••• F•••••••• A•••••••
NEWPORT BEACH, CA | CARLSBAD, 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 |
|---|---|---|---|---|---|---|
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Oct 21, 2016 | n/a | yes | CARLSBAD, CA|NEWPORT BEACH, CA | Current employment |
| M•••••• | Bd affiliated wealth | Sep 18, 2014 | Oct 13, 2016 | no | SAN DIEGO, CA|OVERLAND PARK, KS |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• | U••••• C•••••• F•••••••• A••••••• | Oct 13, 2016 | Oct 21, 2016 | 8 | Firm change | Other |
| B••• W••••• G••••• I•• | M•••••• | Aug 11, 2014 | Sep 18, 2014 |
| B••• W••••• G••••• I•• | Independent wealth | Mar 17, 2014 | Aug 11, 2014 | no | SAN DIEGO, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jul 1, 2004 | Nov 3, 2009 | no | SAN DIEGO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | May 15, 2001 | May 21, 2004 | no | POWAY, CA | Previous registration |
| Firm change |
| Other |
| S•••••••• A••••••• L•• | B••• W••••• G••••• I•• | Nov 3, 2009 | Mar 17, 2014 | 1,595 | Firm change after gap | Other |
| W•••• F•••• I••••••••• L•• | S•••••••• A••••••• L•• | May 21, 2004 | Jul 1, 2004 | 41 | Firm change | Other |