DFX Intelligence
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Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Garland, TX | Richardson, TX
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 11, 2022 | n/a | yes | Richardson, TX|Garland, TX | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 11, 2022 | Oct 3, 2022 | no | Boca Raton, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••••• J•••• A•••• M••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Nov 5, 2007 | Jan 11, 2022 | 5,181 | Firm change after gap | Other |
| S••••••• I••••••••• I••• | D••••• J•••• A•••• M••••••••• I••• | Oct 9, 2006 | Apr 9, 2007 |
| D••••• J•••• A•••• M••••••••• I••• | State registered | Apr 9, 2007 | Nov 5, 2007 | no | BOCA RATON, FL | Previous registration |
| S••••••• I••••••••• I••• | Former SEC adviser | Apr 13, 2006 | Oct 9, 2006 | no | BOCA RATON, FL | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 8, 2005 | Mar 7, 2006 | no | BOCA RATON, FL | Previous registration |
| 182 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | S••••••• I••••••••• I••• | Mar 7, 2006 | Apr 13, 2006 | 37 | Firm change | Other |