DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• F•••••••• N••••••
Phoenix, AZ
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••••••••• F•••••••• N•••••• | National bd RIA | Apr 6, 2023 | n/a | yes | Phoenix, AZ | Current employment |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Independent wealth | May 15, 2020 | Mar 31, 2023 | no | PHOENIX, AZ|Phoenix, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | C••••••••• F•••••••• N•••••• | Mar 31, 2023 | Apr 6, 2023 | 6 | Firm change | RIA to ibd |
| C••••••• M••••••••• I••••••••• A•••••••• L•• | U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | May 18, 2010 |
| C••••••• M••••••••• I••••••••• A•••••••• L•• | Asset manager | Jun 25, 2009 | May 18, 2010 | no | BOSTON, MA | Previous registration |
| P•••••••• S••••••••• I•• | Independent wealth | Sep 6, 2006 | Feb 23, 2007 | no | TACOMA, WA | Previous registration |
| 3,650 |
| Firm change after gap |
| Other |
| P•••••••• S••••••••• I•• | C••••••• M••••••••• I••••••••• A•••••••• L•• | Feb 23, 2007 | Jun 25, 2009 | 853 | Firm change after gap | Other |