DFX Intelligence
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Reading the graph
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Advisor at W•••• F•••• A•••••••
ALBUQUERQUE, NM | SANTA FE, NM
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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Nov 16, 2022 | n/a | yes | ALBUQUERQUE, NM|SANTA FE, NM | Current employment |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Apr 10, 2013 | Nov 23, 2022 | no | ALBUQUERQUE, NM|ALBUQUERQUE, NM|LAS CRUCES, NM|LAS CRUCES, NM|ANTHONY, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|CEDAR CREST, NM|RIO RANCHO, NM|LOS LUNAS, NM|WINSLOW, AZ|EAGAR, AZ|PAGE, AZ|HOLBROOK, AZ|ALBUQUERQUE, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••• I••••••••• S•••••••• I••• ••••• | W•••• F•••• A••••••• | Nov 23, 2022 | Nov 16, 2022 | -7 | Firm change | Ibd to wirehouse |
| A••••••••• F•••••••• S•••••••• L•• | B••••••• I••••••••• S•••••••• I••• ••••• | Feb 5, 2013 | Apr 10, 2013 |
| Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 14, 2011 | Feb 5, 2013 | no | MINNEAPOLIS, MN | Previous registration |
| 64 |
| Firm change |
| Other |