DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••• A•••• M••••••••• L••
NEW ORLEANS, LA
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 |
|---|---|---|---|---|---|---|
| D••••• A•••• M••••••••• L•• | Mixed wealth | Sep 25, 2006 | n/a | yes | NEW ORLEANS, LA | Current employment |
| S••••• A••• A•••• M••••••••• I••• | Former SEC adviser | Jul 11, 2006 | Sep 20, 2006 | no | BIRMINGHAM, AL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• A••• A•••• M••••••••• I••• | D••••• A•••• M••••••••• L•• | Sep 20, 2006 | Sep 25, 2006 | 5 | Firm change | Other |
| S•••••• A••• • L••••• I••• | S••••• A••• A•••• M••••••••• I••• | Sep 20, 2006 | Jul 11, 2006 |
| S•••••• A••• • L••••• I••• | n/a | Oct 7, 2003 | Sep 20, 2006 | no | BIRMINGHAM, AL|NEW ORLEANS, LA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 19, 2002 | Sep 24, 2003 | no | NEW ORLEANS, LA | Previous registration |
| -71 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | S•••••• A••• • L••••• I••• | Sep 24, 2003 | Oct 7, 2003 | 13 | Firm change | Other |