DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Newport 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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Nov 12, 2024 | n/a | yes | Newport Beach, CA|Newport Beach, CA | Current employment |
| P•• A••••••• | Independent wealth | Mar 13, 2020 | Oct 28, 2024 | no | Laguna Niguel, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•• A••••••• | C•••••• S••••• • C••• I••• | Oct 28, 2024 | Nov 12, 2024 | 15 | Firm change | RIA to ibd |
| C••••••• S••••••••• | P•• A••••••• | Mar 16, 2020 | Mar 13, 2020 |
| C••••••• S••••••••• | Former SEC adviser | Dec 12, 2018 | Mar 16, 2020 | no | COSTA MESA, CA | Previous registration |
| P•••••••• S••••••••• I••• | Bd affiliated wealth | Nov 7, 2017 | Dec 12, 2018 | no | IRVINE, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 26, 2016 | Nov 2, 2017 | no | RIVERSIDE, CA|FULLERTON, CA | Previous registration |
| I•••••• S••••••••• I••• | Mixed wealth | Oct 28, 2015 | Mar 7, 2016 | no | COSTA MESA, CA|Highland Park, IL|Costa Mesa, CA | Previous registration |
| A•• A•••• M••••••••• L•• | State registered | Apr 6, 2015 | Aug 5, 2015 | no | WESTLAKE VILLAGE, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Apr 7, 2015 | no | IRVINE, CA|BUENA PARK, CA|ROSEVILLE, CA|SACRAMENTO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jan 15, 2003 | Jan 3, 2011 | no | ANAHEIM, CA|ANAHEIM, CA|NEWPORT BEACH, CA | Previous registration |
| Firm change |
| Other |
| P•••••••• S••••••••• I••• | C••••••• S••••••••• | Dec 12, 2018 | Dec 12, 2018 | 0 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | P•••••••• S••••••••• I••• | Nov 2, 2017 | Nov 7, 2017 | 5 | Firm change | Other |
| I•••••• S••••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Mar 7, 2016 | Feb 26, 2016 | -10 | Firm change | Other |
| A•• A•••• M••••••••• L•• | I•••••• S••••••••• I••• | Aug 5, 2015 | Oct 28, 2015 | 84 | Firm change | Other |
| W•••• F•••• A••••••• | A•• A•••• M••••••••• L•• | Apr 7, 2015 | Apr 6, 2015 | -1 | Firm change | Wirehouse to state RIA |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |