DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
LONG BEACH, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 29, 2017 | n/a | yes | LONG BEACH, CA | Current employment |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 9, 2017 | Dec 6, 2017 | no | El Segundo, CA|LONG BEACH, CA|LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | L•• F•••••••• L•• | Dec 6, 2017 | Nov 29, 2017 | -7 | Bulk transfer | Other |
| L•• F•••••••• L•• | L•••• A• W•••••• C•• | Feb 24, 2017 | Jan 9, 2006 |
| L•••• A• W•••••• C•• | State registered | Jan 9, 2006 | Nov 9, 2006 | no | LONG BEACH, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 25, 2003 | Feb 24, 2017 | no | SEAL BEACH, CA|LONG BEACH, CA|SEAL BEACH, CA|COCOA, FL|SEAL BEACH, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 18, 1999 | Jan 17, 2003 | no | LONG BEACH, CA | Previous registration |
| -4,064 |
| Firm change after gap |
| Other |
| L•••• A• W•••••• C•• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Nov 9, 2006 | Feb 9, 2017 | 3,745 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | L•• F•••••••• L•• | Jan 17, 2003 | Apr 25, 2003 | 98 | Firm change | Other |