DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T••••••••• L••
BEVERLY HILLS, CA | SAN FRANCISCO, 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 |
|---|---|---|---|---|---|---|
| T••••••••• L•• | Independent wealth | Sep 13, 2019 | n/a | yes | SAN FRANCISCO, CA|BEVERLY HILLS, CA | Current employment |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Oct 5, 2012 | Sep 3, 2019 | no | Pasadena, CA|BEVERLY HILLS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | T••••••••• L•• | Sep 3, 2019 | Sep 13, 2019 | 10 | Firm change | Ibd to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | R•••••• J•••• • A••••••••• I••• | Sep 14, 2012 | Oct 5, 2012 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 30, 2009 | Sep 14, 2012 | no | BEVERLY HILLS, CA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 20, 2004 | Nov 5, 2009 | no | BEVERLY HILLS, CA|BEVERLY HILLS, CA | Previous registration |
| C••••••• I••••••••• S••••••• | n/a | Jan 27, 2003 | Apr 27, 2004 | no | LOS ANGELES, CA | Previous registration |
| 21 |
| Firm change |
| Wirehouse to ibd |
| U•• F•••••••• S••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Nov 5, 2009 | Oct 30, 2009 | -6 | Firm change | Wirehouse to wirehouse |
| C••••••• I••••••••• S••••••• | U•• F•••••••• S••••••• I••• | Apr 27, 2004 | May 20, 2004 | 23 | Firm change | Other |