DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
PORT ANGELES, WA
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 1, 2020 | n/a | yes | PORT ANGELES, WA | Current employment |
| E• R•••• I••••••••• L•• | Former SEC adviser | Nov 16, 2007 | Nov 6, 2020 | no | Seattle, WA|SEATTLE, WA|Port Angeles, WA|Seattle, WA|SEATTLE, WA|SEATTLE, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E• R•••• I••••••••• L•• | L•• F•••••••• L•• | Nov 6, 2020 | Oct 1, 2020 | -36 | Bulk transfer | RIA to ibd |
| F•••• A••••• S••••••••• I••• | E• R•••• I••••••••• L•• | Nov 16, 2007 | Nov 16, 2007 |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | May 17, 2004 | Nov 16, 2007 | no | PORT ANGELES, WA|PORT ANGELES, WA | Previous registration |
| R•••• M•••••••• I••••••••• S•••••••• L•• | n/a | Jun 19, 2001 | May 17, 2004 | no | PORT ANGELES, WA | Previous registration |
| 0 |
| Firm change |
| Other |
| R•••• M•••••••• I••••••••• S•••••••• L•• | F•••• A••••• S••••••••• I••• | May 17, 2004 | May 17, 2004 | 0 | Firm change | Other |