DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
CARLSBAD, CA | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 1, 2020 | n/a | yes | CARLSBAD, CA|SAN DIEGO, CA | Current employment |
| L•••• C•••••• G•••• | Former SEC adviser | Apr 14, 2010 | Oct 5, 2020 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••• C•••••• G•••• | L•• F•••••••• L•• | Oct 5, 2020 | Sep 1, 2020 | -34 | Firm change after gap | RIA to ibd |
| R•••••• J• L•••• C••••••••• I••• | R•• F•••••••• N••••••• L••••• | Oct 21, 2010 | Apr 22, 2004 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 152396:6413:CA:2020-10-05 | Oct 5, 2020 | Sep 1, 2020 | SAN DIEGO, CA | Firm change after gap |
| R•• F•••••••• N••••••• L••••• | n/a | Apr 22, 2004 | Jun 6, 2006 | no | OMAHA, NE | Previous registration |
| R•••••• J• L•••• C••••••••• I••• | n/a | Apr 4, 1996 | Oct 21, 2010 | no | SAN DIEGO, CA | Previous registration |
| -2,373 |
| Firm change after gap |
| Other |
| R•• F•••••••• N••••••• L••••• | L•••• C•••••• G•••• | Jun 6, 2006 | Apr 14, 2010 | 1,408 | Firm change after gap | Other |