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Advisor at SHAREBUILDER 401K
SEATTLE, 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 |
|---|---|---|---|---|---|---|
| SHAREBUILDER 401K | No RAUM reported | Aug 2, 2019 | n/a | yes | SEATTLE, WA | Current employment |
| CAPITAL ONE ADVISORS, LLC | Former SEC adviser | Mar 28, 2011 | Aug 1, 2019 | no | MCLEAN, VA|Seattle, WA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Aug 27, 2007 | Aug 28, 2008 | no | BELLEVUE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CAPITAL ONE ADVISORS, LLC | SHAREBUILDER 401K | Aug 1, 2019 | Aug 2, 2019 | 1 | Firm change | Other |
| MSI FINANCIAL SERVICES, INC. | CAPITAL ONE ADVISORS, LLC | Aug 28, 2008 | Mar 28, 2011 | 942 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 136865:300537:WA:2019-08-01 | Aug 1, 2019 | Aug 2, 2019 | SEATTLE, WA | Firm change |