DFX Intelligence
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Reading the graph
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Advisor at S••••• W••••• S••••••••• L••
GILBERT, 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 |
|---|---|---|---|---|---|---|
| S••••• W••••• S••••••••• L•• | State registered | Jun 16, 2014 | n/a | yes | GILBERT, AZ | Current employment |
| N•••••• C•••• A•••• M••••••••• | Former SEC adviser | Apr 1, 2011 | May 28, 2014 | no | NEW YORK, NY|GILBERT, AZ|IRVINE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••••• C•••• A•••• M••••••••• | S••••• W••••• S••••••••• L•• | May 28, 2014 | Jun 16, 2014 | 19 | Firm change | Other |
| P•••••• C••••••••• G••••• I••• | N•••••• C•••• A•••• M••••••••• | Dec 31, 2008 | Apr 1, 2011 |
| P•••••• C••••••••• G••••• I••• | n/a | May 22, 2007 | Dec 31, 2008 | no | MESA, AZ|PORTLAND, OR|CENTERVILLE, UT | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Feb 15, 1995 | May 23, 2007 | no | CARLSBAD, NM|ARTESIA, NM|LAS VEGAS, NV|SCOTTSDALE, AZ | Previous registration |
| 821 |
| Firm change after gap |
| Other |
| O•••• F•• I••• | P•••••• C••••••••• G••••• I••• | May 23, 2007 | May 22, 2007 | -1 | Firm change | Other |