DFX Intelligence
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Reading the graph
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Advisor at C•••••• W••••• S•••••••• L••
PALM DESERT, 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 |
|---|---|---|---|---|---|---|
| C•••••• W••••• S•••••••• L•• | Independent wealth | Jul 18, 2017 | n/a | yes | PALM DESERT, CA | Current employment |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Oct 2, 2013 | no | INDIAN WELLS, CA|Palm Desert, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | C•••••• W••••• S•••••••• L•• | Oct 2, 2013 | Jul 18, 2017 | 1,385 | Firm change after gap | Wirehouse to new firm |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | PALM DESERT, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Sep 13, 2005 | Apr 2, 2007 | no | PALM DESERT, CA|PALM DESERT, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Apr 28, 2003 | Jul 13, 2005 | no | INDIAN WELLS, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| T• A••••••••• I••• | M••••• S•••••• D• I••• | Jul 13, 2005 | Sep 13, 2005 | 62 | Firm change | Other |