DFX Intelligence
Reading the graph
Reading the graph
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Advisor at V••••••••• A••••••• S•••••••
WOODBURY, NY | Folsom, 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 |
|---|---|---|---|---|---|---|
| V••••••••• A••••••• S••••••• | Bd affiliated wealth | Jul 15, 2024 | n/a | yes | Folsom, CA|WOODBURY, NY | Current employment |
| S••••••••• I••••••••• | Independent wealth | Mar 14, 2024 | Jul 3, 2024 | no | NEW YORK, NY|Granite Bay, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• I••••••••• | V••••••••• A••••••• S••••••• | Jul 3, 2024 | Jul 15, 2024 | 12 | Firm change | RIA to ibd |
| N••• F•••••••• G••••• I••• | S••••••••• I••••••••• | Mar 26, 2024 | Mar 14, 2024 |
| N••• F•••••••• G••••• I••• | Former SEC adviser | Nov 1, 2019 | Mar 26, 2024 | no | SACRAMENTO, CA|Roseville, CA|Roseville, CA|Roseville, CA | Previous registration |
| A••••••• A••••••• S••••••• | Former SEC adviser | Apr 3, 2017 | Nov 26, 2019 | no | Roseville, CA|LINCOLN, NE|Roseville, CA|Glendale, AZ | Previous registration |
| A••••• A•••••••• L•• | Independent wealth | Jul 14, 2004 | Apr 10, 2017 | no | n/a | Previous registration |
| A••••• A•••••••• L•• | Independent wealth | Jul 14, 2004 | Dec 31, 2004 | no | SACRAMENTO, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | Jul 1, 2004 | no | ROSEVILLE, CA | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Aug 25, 1998 | Jul 1, 2003 | no | ROSEVILLE, CA | Previous registration |
| -12 |
| Firm change |
| Ibd to RIA |
| A••••••• A••••••• S••••••• | N••• F•••••••• G••••• I••• | Nov 26, 2019 | Nov 1, 2019 | -25 | Firm change | Ibd to ibd |
| A••••• A•••••••• L•• | A••••••• A••••••• S••••••• | Apr 10, 2017 | Apr 3, 2017 | -7 | Firm change | Other |
| W•••• F•••• A••••••• | A••••• A•••••••• L•• | Jul 1, 2004 | Jul 14, 2004 | 13 | Firm change | Other |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |