DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T•••• S••••••••• L••
WOODLAND HILLS, 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 |
|---|---|---|---|---|---|---|
| T•••• S••••••••• L•• | Independent wealth | Sep 28, 2021 | n/a | yes | WOODLAND HILLS, CA | Current employment |
| M••••• S•••••• | Wirehouse | Aug 26, 2019 | Oct 15, 2019 | no | Sherman Oaks, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | T•••• S••••••••• L•• | Oct 15, 2019 | Sep 28, 2021 | 714 | Firm change after gap | Wirehouse to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | M••••• S•••••• | Jun 7, 2019 | Aug 26, 2019 |
| T• A••••••••• I••••••••• M••••••••• L•• |
| Former SEC adviser |
| Apr 30, 2019 |
| Jun 7, 2019 |
| no |
| Northridge, CA |
| Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Apr 30, 2019 | Jun 7, 2019 | no | Woodland Hills, CA | Previous registration |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Jun 12, 2018 | Sep 6, 2018 | no | Glendale, CA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | May 4, 2017 | Mar 9, 2018 | no | SAINT LOUIS, MO | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Feb 28, 2006 | May 21, 2007 | no | EL SEGUNDO, CA|LOS ANGELES, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Sep 20, 2001 | Apr 3, 2003 | no | BURBANK, CA | Previous registration |
| 80 |
| Firm change |
| RIA to wirehouse |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jun 7, 2019 | Apr 30, 2019 | -38 | Channel change | Other |
| U••• B•••••• A•••••••• L•• | T• A••••••••• I••• | Sep 6, 2018 | Apr 30, 2019 | 236 | Firm change | Other |
| S•••••••• I••••••••• M••••••••• | U••• B•••••• A•••••••• L•• | Mar 9, 2018 | Jun 12, 2018 | 95 | Firm change | Ibd to ibd |
| W•••• F•••• I••••••••• L•• | S•••••••• I••••••••• M••••••••• | May 21, 2007 | May 4, 2017 | 3,636 | Firm change after gap | Other |
| C•••••• S••••• • C••• I••• | W•••• F•••• I••••••••• L•• | Apr 3, 2003 | Feb 28, 2006 | 1,062 | Firm change after gap | Other |