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Advisor at NBC PARDNERS
TIBURON, 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 |
|---|---|---|---|---|---|---|
| NBC PARDNERS | State registered | Mar 3, 2017 | n/a | yes | TIBURON, CA | Current employment |
| WESPAC ADVISORS, LLC | Other adviser | Aug 9, 2012 | Feb 8, 2017 | no | RENO, NV | Previous registration |
| FOOTHILL SECURITIES, INC. | Former SEC adviser | Aug 30, 2010 | Jul 2, 2012 | no | MILL VALLEY, CA | Previous registration |
| CONCORDIUS CAPITAL ADVISORS | Former SEC adviser | Jan 4, 2010 | Nov 29, 2010 | no | TIBURON, CA|ST PETERSBURG, FL | Previous registration |
| COMPASS ADVISORS, LLC | Former SEC adviser | Dec 1, 2005 | Nov 21, 2008 | no | TIBURON, CA | Previous registration |
| ICM ASSET MANAGEMENT INC | Former SEC adviser | Jul 17, 2003 | Oct 11, 2005 | no | SPOKANE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WESPAC ADVISORS, LLC | NBC PARDNERS | Feb 8, 2017 | Mar 3, 2017 | 23 | Firm change | Other |
| FOOTHILL SECURITIES, INC. | WESPAC ADVISORS, LLC | Jul 2, 2012 | Aug 9, 2012 | 38 | Firm change | Other |
| CONCORDIUS CAPITAL ADVISORS | FOOTHILL SECURITIES, INC. | Nov 29, 2010 | Aug 30, 2010 | -91 | Firm change after gap | Other |
| COMPASS ADVISORS, LLC | CONCORDIUS CAPITAL ADVISORS | Nov 21, 2008 | Jan 4, 2010 | 409 | Firm change after gap | Other |
| ICM ASSET MANAGEMENT INC | COMPASS ADVISORS, LLC | Oct 11, 2005 | Dec 1, 2005 | 51 | Firm change | Other |