DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E••••• J••••
O••••, NE
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 |
|---|---|---|---|---|---|---|
| E••••• J•••• | National bd RIA | May 10, 2024 | n/a | yes | O••••, NE | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 19, 2023 | May 16, 2024 | no | O••••, NE|DES MOINES, IA|BOONE, IA|O••••, NE|CLIVE, IA|BLOOMFIELD, IA|O••••, NE|URBANDALE, IA|WEST DES MOINES, IA|O••••, NE|CEDAR RAPIDS, IA|CLIVE, IA|JOHNSTON, IA|CEDAR RAPIDS, IA|DES MOINES, IA|MARION, IA|CORALVILLE, IA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | E••••• J•••• | May 16, 2024 | May 10, 2024 | -6 | Firm change | Ibd to ibd |
| B••••••• I••••••••• S•••••••• I••• ••••• | L•• F•••••••• L•• | Jul 19, 2023 | Jul 19, 2023 |
| Previous registration |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Dec 8, 2021 | Jul 19, 2023 | no | O••••, NE|O••••, NE|O••••, NE|O••••, NE|MARION, IA|CLIVE, IA|JOHNSTON, IA|CLIVE, IA|WEST DES MOINES, IA|DES MOINES, IA|CORALVILLE, IA|DES MOINES, IA|CEDAR RAPIDS, IA|BLOOMFIELD, IA|URBANDALE, IA|CEDAR RAPIDS, IA|BOONE, IA | Previous registration |
| U•• F•••••••• S•••••••• I••• | Independent wealth | Apr 14, 2015 | Nov 29, 2021 | no | O••••, NE|KANSAS CITY, MO|KANSAS CITY, MO|KANSAS CITY, MO | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jun 24, 2013 | Jan 20, 2015 | no | O••••, NE | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jun 24, 2013 | Jan 20, 2015 | no | Omaha, NE | Previous registration |
| M••••• O• O•••• I••••••• S•••••••• I••• | Independent wealth | Dec 11, 2012 | Jun 19, 2013 | no | O••••, NE | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Nov 13, 2012 | no | O••••, NE|O••••, NE | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Oct 15, 2007 | Jan 3, 2011 | no | O••••, NE|O••••, NE | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| U•• F•••••••• S•••••••• I••• | B••••••• I••••••••• S•••••••• I••• ••••• | Nov 29, 2021 | Dec 8, 2021 | 9 | Firm change | Ibd to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 20, 2015 | Jun 24, 2013 | -575 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | U•• F•••••••• S•••••••• I••• | Jan 20, 2015 | Apr 14, 2015 | 84 | Firm change | Other |
| M••••• O• O•••• I••••••• S•••••••• I••• | T• A••••••••• I••• | Jun 19, 2013 | Jun 24, 2013 | 5 | Firm change | Other |
| W•••• F•••• A••••••• | M••••• O• O•••• I••••••• S•••••••• I••• | Nov 13, 2012 | Dec 11, 2012 | 28 | Firm change | Wirehouse to new firm |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |