DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• N••••••• • C••••••• I•••••••••
Santa Barbara, CA | SANTA BARBARA, 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 |
|---|---|---|---|---|---|---|
| S•••••• N••••••• • C••••••• I••••••••• | National bd RIA | May 26, 2016 | n/a | yes | Santa Barbara, CA|SANTA BARBARA, CA | Current employment |
| W•••••• S••••••••• I••• | Bd affiliated wealth | Jul 30, 2009 | May 27, 2016 | no | SANTA BARBARA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• S••••••••• I••• | S•••••• N••••••• • C••••••• I••••••••• | May 27, 2016 | May 26, 2016 | -1 | Firm change | Other |
| W•••• F•••• A••••••• | W•••••• S••••••••• I••• | Jul 23, 2009 | Jul 30, 2009 |
| W•••• F•••• A••••••• | Wirehouse | Jan 1, 2008 | Jul 23, 2009 | no | SANTA BARBARA, CA | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Feb 19, 2002 | Jan 1, 2008 | no | SANTA BARBARA, CA|SANTA BARBARA, CA|ST. LOUIS, MO | Previous registration |
| 7 |
| Firm change |
| Other |
| A• G• E•••••• • S•••• I••• | W•••• F•••• A••••••• | Jan 1, 2008 | Jan 1, 2008 | 0 | Bulk transfer | Other |