DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Centerville, MN | NEW BRIGHTON, MN
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 | Jun 14, 2017 | n/a | yes | NEW BRIGHTON, MN|Centerville, MN | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Jul 29, 2016 | Jun 2, 2017 | no | FRIENDSWOOD, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Jun 2, 2017 | Jun 14, 2017 | 12 | Firm change | Wirehouse to ibd |
| A••••••••• F•••••••• S•••••••• L•• | J••• M••••• S••••••••• L•• | Jan 13, 2016 | Jul 29, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6363:175296:TX:2015-07-30 | Jul 30, 2015 | Jul 23, 2015 | HOUSTON, TX | Firm change |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 16, 2015 | Jan 13, 2016 | no | Webster, TX | Previous registration |
| O••• R•••• F•••••••• G••••• L•• | Former SEC adviser | Jul 23, 2015 | Aug 28, 2015 | no | WACO, TX | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 8, 2015 | Jul 30, 2015 | no | HOUSTON, TX | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 14, 2013 | Jul 1, 2014 | no | LAKE JACKSON, TX | Previous registration |
| P••• C••••••• P••••••• | Independent wealth | Apr 13, 2012 | Jan 2, 2013 | no | HOUSTON, TX | Previous registration |
| 198 |
| Firm change |
| Ibd to wirehouse |
| O••• R•••• F•••••••• G••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Aug 28, 2015 | Sep 16, 2015 | 19 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | O••• R•••• F•••••••• G••••• L•• | Jul 30, 2015 | Jul 23, 2015 | -7 | Firm change | Ibd to new firm |
| L•• F•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Jul 1, 2014 | Jan 8, 2015 | 191 | Firm change | Other |
| P••• C••••••• P••••••• | L•• F•••••••• L•• | Jan 2, 2013 | Jan 14, 2013 | 12 | Firm change | Other |