DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• W••••• M••••••••• I•••
Albuquerque, NM | MANHATTAN BEACH, 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 |
|---|---|---|---|---|---|---|
| W••••• W••••• M••••••••• I••• | Independent wealth | Oct 13, 2017 | n/a | yes | Albuquerque, NM|MANHATTAN BEACH, CA | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 4, 2009 | Oct 16, 2017 | no | Albuquerque, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | W••••• W••••• M••••••••• I••• | Oct 16, 2017 | Oct 13, 2017 | -3 | Firm change | Other |
| M••••• S•••••• | A••••••••• F•••••••• S•••••••• L•• | Sep 8, 2009 | Sep 4, 2009 |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Sep 8, 2009 | no | Albuquerque, NM | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | ALBUQUERQUE, NM | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jul 26, 2004 | Apr 2, 2007 | no | ALBUQUERQUE, NM|ALBUQUERQUE, NM | Previous registration |
| -4 |
| Firm change |
| Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |