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Advisor at S•••••••• A••••••• L••
ALLEN, TX | PLANO, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | ALLEN, TX|PLANO, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|LAS VEGAS, NV|HENDERSON, NV |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• T•••• C••••••• F•• | Jul 13, 2018 | Jan 27, 2006 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 104555:109516:FL:2018-07-13 | Jul 13, 2018 | Jan 27, 2006 | FT LAUDERDALE, FL | Firm change after gap |
| F••••••• P••••••• T•••• C••••••• F•• | n/a | Jan 27, 2006 | Mar 28, 2007 | no | HOUSTON, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 10, 1998 | Jul 13, 2018 | no | FT. LAUDERDALE, FL|DALLAS, TX|CORAL GABLES, FL|FT. LAUDERDALE, FL | Previous registration |
| -4,550 |
| Firm change after gap |
| Other |
| F••••••• P••••••• T•••• C••••••• F•• | F••••••• P••••••• A•• W•••••••• A••••••• | Mar 28, 2007 | Jul 13, 2018 | 4,125 | Firm change after gap | Other |