DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• I••••••••• I•••
Nederland, TX | Beaumont, TX
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•••• I••••••••• I••• | Bd affiliated wealth | Mar 14, 2025 | n/a | yes | Nederland, TX|Beaumont, TX | Current employment |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Sep 1, 2022 | Mar 13, 2025 | no | SAN DIEGO, CA|Beaumont, TX|Beaumont, TX|Nederland, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••• F•••••••• S•••••••• L••• | O•••• I••••••••• I••• | Mar 13, 2025 | Mar 14, 2025 | 1 | Firm change | Ibd to ibd |
| L•• F•••••••• L•• | C••• F•••••••• S•••••••• L••• | Sep 8, 2022 | Sep 1, 2022 |
| L•• F•••••••• L•• | Bd affiliated wealth | May 18, 2022 | Sep 8, 2022 | no | PORT NECHES, TX|BEAUMONT, TX | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Dec 1, 2008 | May 18, 2022 | no | BEAUMONT, TX|PORT NECHES, TX|Port Neches, TX | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Oct 22, 1999 | Nov 24, 2008 | no | BEAUMONT, TX|BEAUMONT, TX | Previous registration |
| -7 |
| Firm change |
| RIA to ibd |
| C••• B•••••••• S•••••••• I••• | L•• F•••••••• L•• | May 18, 2022 | May 18, 2022 | 0 | Bulk transfer | Ibd to RIA |
| U•• F•••••••• S••••••• I••• | C••• B•••••••• S•••••••• I••• | Nov 24, 2008 | Dec 1, 2008 | 7 | Firm change | Other |