DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••• W••••• M•••••••••
PLANO, TX
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 |
|---|---|---|---|---|---|---|
| F•••••• W••••• M••••••••• | Independent wealth | Nov 15, 2011 | n/a | yes | PLANO, TX | Current employment |
| W•• A•••••••• L• | Former SEC adviser | Mar 2, 2009 | Jun 17, 2015 | no | PLANO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•• A•••••••• L• | F•••••• W••••• M••••••••• | Jun 17, 2015 | Nov 15, 2011 | -1,310 | Firm change after gap | Other |
| B••• C•••••• I••••••••• S••••••••• I•• | W•• A•••••••• L• | Dec 3, 2008 | Mar 2, 2009 |
| B••• C•••••• I••••••••• S••••••••• I•• |
| n/a |
| Sep 21, 2005 |
| Dec 3, 2008 |
| no |
| PLANO, TX|HOUSTON, TX|DALLAS, TX|DALLAS, TX |
| Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Oct 25, 2002 | Sep 22, 2005 | no | DALLAS, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jul 19, 1999 | Oct 29, 2002 | no | DALLAS, TX | Previous registration |
| 89 |
| Firm change |
| Other |
| U•• F•••••••• S••••••• I••• | B••• C•••••• I••••••••• S••••••••• I•• | Sep 22, 2005 | Sep 21, 2005 | -1 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | Oct 29, 2002 | Oct 25, 2002 | -4 | Firm change | Wirehouse to wirehouse |