DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Mt Pleasant, IA
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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Aug 1, 2017 | n/a | yes | Mt Pleasant, IA | Current employment |
| D••• H••• A•••••••• I••• | Independent wealth | Dec 2, 2016 | Aug 1, 2017 | no | Mt. Pleasant, IA|KINGWOOD, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••• H••• A•••••••• I••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Aug 1, 2017 | Aug 1, 2017 | 0 | Firm change | Other |
| I•••••••• A•••••••• L•• | D••• H••• A•••••••• I••• | Dec 9, 2016 | Dec 2, 2016 |
| I•••••••• A•••••••• L•• | Bd affiliated wealth | Mar 19, 2013 | Dec 9, 2016 | no | WAYLAND, IA|Urbandale, IA|WAYLAND, IA|Winfield, IA|Wayland, IA | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Feb 17, 2011 | Apr 25, 2011 | no | BURLINGTON, IA|IOWA CITY, IA|CORALVILLE, IA | Previous registration |
| I••••••••• A••••••• C••• | Former SEC adviser | Apr 13, 2007 | Feb 14, 2011 | no | MT. PLEASANT, IA | Previous registration |
| -7 |
| Firm change |
| Other |
| I••••• F•••••••• C••••••••• | I•••••••• A•••••••• L•• | Apr 25, 2011 | Mar 19, 2013 | 694 | Firm change after gap | Other |
| I••••••••• A••••••• C••• | I••••• F•••••••• C••••••••• | Feb 14, 2011 | Feb 17, 2011 | 3 | Firm change | Other |