DFX Intelligence
Reading the graph
Reading the graph
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Advisor at Q•••• C••• C•••••• M••••••••• L••
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| Q•••• C••• C•••••• M••••••••• L•• | Independent wealth | Jul 23, 2012 | n/a | yes | CINCINNATI, OH | Current employment |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Jan 27, 2009 | May 21, 2012 | no | CINCINNATI, OH|FOLSOM, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••• • Y•••• A•••••••• I••• | Q•••• C••• C•••••• M••••••••• L•• | May 21, 2012 | Jul 23, 2012 | 63 | Firm change | Other |
| S••••••••• A•••••• A•••••••• I••• | B••••• • Y•••• A•••••••• I••• | Jan 26, 2009 | Jan 27, 2009 |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 23, 2009 | Jan 26, 2009 | no | LAVISTA, NE | Previous registration |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Aug 13, 2004 | Jan 23, 2009 | no | CINCINNATI, OH|FOLSOM, CA|CINCINNATI, OH|CINCINNATI, OH | Previous registration |
| 1 |
| Firm change |
| Other |
| B••••• • Y•••• A•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jan 23, 2009 | Jan 23, 2009 | 0 | Bulk transfer | Other |