DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• C•••••• F•••••••• A•••••••
PALM DESERT, 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 |
|---|---|---|---|---|---|---|
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Aug 16, 2017 | n/a | yes | PALM DESERT, CA | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 21, 2012 | Jun 22, 2017 | no | PALM DESERT, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | U••••• C•••••• F•••••••• A••••••• | Jun 22, 2017 | Aug 16, 2017 | 55 | Firm change | Other |
| S•••••• V••••• C•••••• P•••••••• L••• | L•• F•••••••• L•• | Mar 5, 2014 | Sep 21, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:134600:CA:2017-06-22 | Jun 22, 2017 | Aug 16, 2017 | PALM DESERT, CA | Firm change |
| S•••••• V••••• C•••••• P•••••••• L••• | Independent wealth | May 5, 2008 | Mar 5, 2014 | no | SAN JOSE, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 5, 2001 | Jul 22, 2003 | no | CAMPBELL, CA | Previous registration |
| -530 |
| Firm change after gap |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | S•••••• V••••• C•••••• P•••••••• L••• | Jul 22, 2003 | May 5, 2008 | 1,749 | Firm change after gap | Other |