DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
CHESTERFIELD, MO
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Dec 5, 2016 | n/a | yes | CHESTERFIELD, MO | Current employment |
| F•••••••• L••••• A••••••••• | Former SEC adviser | Jun 21, 2018 | Dec 22, 2022 | no | CHESTERFIELD, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• L••••• A••••••••• | n/a | Dec 22, 2022 | n/a | n/a | Departure no registered destination | Departure |
| F•• S••••••••• C••••••••• | O•••• W•••••• I••• | May 29, 2012 | Dec 5, 2016 | 1,651 |
| F•• S••••••••• C••••••••• | Former SEC adviser | Feb 27, 2009 | May 29, 2012 | no | COLORADO SPRINGS, CO|BRENTWOOD, MO | Previous registration |
| A•••••••• C•••••• C••••••••• | n/a | Jun 18, 2008 | Feb 27, 2009 | no | COLORADO SPRINGS, CO | Previous registration |
| E••••• J•••• | National bd RIA | Feb 14, 2007 | Apr 4, 2008 | no | COLORADO SPRINGS, CO | Previous registration |
| Firm change after gap |
| Other |
| A•••••••• C•••••• C••••••••• | F•• S••••••••• C••••••••• | Feb 27, 2009 | Feb 27, 2009 | 0 | Bulk transfer | Other |
| E••••• J•••• | A•••••••• C•••••• C••••••••• | Apr 4, 2008 | Jun 18, 2008 | 75 | Firm change | Other |