DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
ONTARIO, 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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Sep 1, 2023 | n/a | yes | ONTARIO, CA | Current employment |
| S•••••••• F••••••••• I••• | Former SEC adviser | Aug 18, 2015 | Sep 1, 2023 | no | ONTARIO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• F••••••••• I••• | O•••• W•••••• I••• | Sep 1, 2023 | Sep 1, 2023 | 0 | Bulk transfer | Ibd to ibd |
| I••••••••• C•••••• M••••••••• | S•••••••• F••••••••• I••• | Jul 9, 2014 | Aug 18, 2015 |
| I••••••••• C•••••• M••••••••• |
| n/a |
| Jul 10, 2012 |
| Jul 9, 2014 |
| no |
| SAN DIEGO, CA |
| Previous registration |
| T••••••• W••••• M••••••••• I••• | State registered | Aug 24, 2007 | Nov 21, 2012 | no | CULVER CITY, CA | Previous registration |
| 405 |
| Firm change after gap |
| Other |
| T••••••• W••••• M••••••••• I••• | I••••••••• C•••••• M••••••••• | Nov 21, 2012 | Jul 10, 2012 | -134 | Firm change after gap | Other |