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Advisor at M••••• S••••••
Walnut Creek, 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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Mar 20, 2026 | n/a | yes | Walnut Creek, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Mar 23, 2021 | Mar 25, 2026 | no | WALNUT CREEK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• | Mar 25, 2026 | Mar 20, 2026 | -5 | Firm change | Wirehouse to wirehouse |
| P•• M•••••• A•••••• S••••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Mar 22, 2021 |
| P•• M•••••• A•••••• S••••••••• I••• | Former SEC adviser | Dec 13, 2017 | Mar 22, 2021 | no | Walnut Creek, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Nov 20, 2006 | Sep 3, 2009 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA|PALO ALTO, CA|PALO ALTO, CA | Previous registration |
| 1 |
| Firm change |
| Ibd to wirehouse |
| W•••• F•••• I••••••••• L•• | P•• M•••••• A•••••• S••••••••• I••• | Sep 3, 2009 | Dec 13, 2017 | 3,023 | Firm change after gap | Other |