DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• O• C•••
LAGUNA HILLS, 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 |
|---|---|---|---|---|---|---|
| A••••••• O• C••• | State registered | Feb 23, 2024 | n/a | yes | LAGUNA HILLS, CA | Current employment |
| C••••••• A••••••• N••••••• L•• | Independent wealth | Oct 2, 2013 | Dec 6, 2022 | no | LAGUNA HILLS, CA|ALISO VIEJO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• A••••••• N••••••• L•• | A••••••• O• C••• | Dec 6, 2022 | Feb 23, 2024 | 444 | Firm change after gap | RIA to state RIA |
| I•••••••• A•••••••• L•• | C••••••• A••••••• N••••••• L•• | Dec 4, 2012 | Oct 2, 2013 |
| I•••••••• A•••••••• L•• | Bd affiliated wealth | Jan 25, 2012 | Dec 4, 2012 | no | Urbandale, IA|IRVINE, CA|WHITTIER, CA | Previous registration |
| O••••• W••••• M••••••••• | n/a | Jan 14, 2011 | Mar 15, 2012 | no | IRVINE, CA | Previous registration |
| B• R•••• W••••• A•••••••• I••• | Bd affiliated wealth | Apr 7, 2008 | Jan 5, 2011 | no | NEWPORT, CA|MEMPHIS, TN|IRVINE, CA|IRVINE, CA|NEWPORT BEACH, CA|IRVINE, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jul 12, 2006 | Jan 7, 2008 | no | ONTARIO, CA|ONTARIO, CA|ONTARIO, CA|ONTARIO, CA | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Jan 27, 2006 | Jul 7, 2006 | no | LONG BEACH, CA|LAKEWOOD, CA | Previous registration |
| 302 |
| Firm change |
| Other |
| O••••• W••••• M••••••••• | I•••••••• A•••••••• L•• | Mar 15, 2012 | Jan 25, 2012 | -50 | Firm change after gap | Other |
| B• R•••• W••••• A•••••••• I••• | O••••• W••••• M••••••••• | Jan 5, 2011 | Jan 14, 2011 | 9 | Firm change | Other |
| W•••• F•••• I••••••••• L•• | B• R•••• W••••• A•••••••• I••• | Jan 7, 2008 | Apr 7, 2008 | 91 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | W•••• F•••• I••••••••• L•• | Jul 7, 2006 | Jul 12, 2006 | 5 | Firm change | Other |