DFX Intelligence
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Reading the graph
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Advisor at P•••••••• L••
SAINT LOUIS, MO
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 |
|---|---|---|---|---|---|---|
| P•••••••• L•• | Independent wealth | Aug 13, 2024 | n/a | yes | SAINT LOUIS, MO | Current employment |
| W•••• F•••• A••••••• | Wirehouse | Mar 11, 2022 | Jul 10, 2024 | no | ST. LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | P•••••••• L•• | Jul 10, 2024 | Aug 13, 2024 | 34 | Firm change | Wirehouse to RIA |
| U••• B•••••• I••••••••• I••• | W•••• F•••• A••••••• | Aug 9, 2018 | Aug 3, 2018 |
| W•••• F•••• A••••••• |
| Wirehouse |
| Aug 3, 2018 |
| Nov 18, 2021 |
| no |
| IRVINE, CA|LAGUNA NIGUEL, CA|MISSION VIEJO, CA|IRVINE, CA |
| Previous registration |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jun 30, 2015 | Aug 9, 2018 | no | Laguna Niguel, CA|LAGUNA NIGUEL, CA|LAGUNA BEACH, CA|Mission Viejo, CA | Previous registration |
| E••••• J•••• | National bd RIA | Jan 3, 2012 | Jun 8, 2015 | no | FESTUS, MO|ST LOUIS, MO|IMPERIAL, MO|ARNOLD, MO|De Soto, MO | Previous registration |
| -6 |
| Firm change |
| Ibd to wirehouse |
| E••••• J•••• | U••• B•••••• I••••••••• I••• | Jun 8, 2015 | Jun 30, 2015 | 22 | Firm change | Other |