DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•• A•• O•• W••••• P•••••••
PLEASANT HILL, 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 |
|---|---|---|---|---|---|---|
| O•• A•• O•• W••••• P••••••• | State registered | Jun 9, 2016 | n/a | yes | PLEASANT HILL, CA | Current employment |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Sep 3, 2014 | Jun 9, 2016 | no | SAN DIEGO, CA|WALNUT CREEK, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A••••••• S•••••••• I••• | O•• A•• O•• W••••• P••••••• | Jun 9, 2016 | Jun 9, 2016 | 0 | Firm change | Other |
| L•• F•••••••• L•• | F•••• A••••• A••••••• S•••••••• I••• | Sep 12, 2014 | Sep 3, 2014 |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 6, 2011 | Sep 12, 2014 | no | WALNUT CREEK, CA | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 9, 2009 | Jan 6, 2011 | no | SAN MATEO, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Apr 4, 2008 | Feb 4, 2009 | no | WALNUT CREEK, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Feb 12, 2007 | Mar 28, 2008 | no | WALNUT CREEK, CA | Previous registration |
| -9 |
| Firm change |
| Other |
| S••••••• F•••••••• S•••••••• I••• | L•• F•••••••• L•• | Jan 6, 2011 | Jan 6, 2011 | 0 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | S••••••• F•••••••• S•••••••• I••• | Feb 4, 2009 | Feb 9, 2009 | 5 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | M•• F•••••••• S•••••••• I••• | Mar 28, 2008 | Apr 4, 2008 | 7 | Firm change | Other |