DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••• E••••• L••
Redondo Beach, CA | SAN MATEO, 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 |
|---|---|---|---|---|---|---|
| E•••••• E••••• L•• | Bd affiliated wealth | Mar 21, 2018 | n/a | yes | SAN MATEO, CA|Redondo Beach, CA | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Sep 23, 2015 | Dec 5, 2016 | no | THOUSAND OAKS, CA|COSTA MESA, CA|THOUSAND OAKS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | E•••••• E••••• L•• | Dec 5, 2016 | Mar 21, 2018 | 471 | Firm change after gap | Other |
| J• P• T••••• • C•••••• C•••••• M••••••••• L•• | W••••••• F•••••••• S•••••••• I••• | Sep 23, 2015 | Sep 23, 2015 |
| J• P• T••••• • C•••••• C•••••• M••••••••• L•• | Former SEC adviser | Jun 2, 2011 | Sep 23, 2015 | no | THOUSAND OAK, CA | Previous registration |
| P•••••• A•••• M••••••••• | Former SEC adviser | Mar 17, 2011 | Jul 13, 2011 | no | CALABASAS, CA | Previous registration |
| I••••••••• F•••••••• G••••• L•• | Bd affiliated wealth | May 3, 2010 | Jun 1, 2011 | no | SAN DIEGO, CA|SAN DIEGO, CA|CALABASAS, CA | Previous registration |
| A•• A•••••• S••••••• L•• | n/a | May 31, 2005 | Apr 29, 2010 | no | CALABASAS, CA|THOUSAND OAKS, CA | Previous registration |
| W•••••••• F•••••••• S•••••••• L•• | n/a | Jan 20, 2005 | Jun 22, 2005 | no | ST. PAUL, MN | Previous registration |
| 0 |
| Firm change |
| Other |
| P•••••• A•••• M••••••••• | J• P• T••••• • C•••••• C•••••• M••••••••• L•• | Jul 13, 2011 | Jun 2, 2011 | -41 | Firm change after gap | Other |
| I••••••••• F•••••••• G••••• L•• | P•••••• A•••• M••••••••• | Jun 1, 2011 | Mar 17, 2011 | -76 | Firm change after gap | Other |
| A•• A•••••• S••••••• L•• | I••••••••• F•••••••• G••••• L•• | Apr 29, 2010 | May 3, 2010 | 4 | Firm change | Other |
| W•••••••• F•••••••• S•••••••• L•• | A•• A•••••• S••••••• L•• | Jun 22, 2005 | May 31, 2005 | -22 | Firm change | Other |