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Reading the graph
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Advisor at R•••••• J•••• • A••••••••• I•••
MOBILE, AL
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 |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Jun 17, 2024 | n/a | yes | MOBILE, AL | Current employment |
| A••••• A•••• M••••••••• U•• I••• | Former SEC adviser | Jan 4, 2021 | Apr 19, 2024 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• A•••• M••••••••• U•• I••• | R•••••• J•••• • A••••••••• I••• | Apr 19, 2024 | Jun 17, 2024 | 59 | Firm change | Other |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | A••••• A•••• M••••••••• U•• I••• | Dec 31, 2020 | Jan 4, 2021 |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Former SEC adviser | Jan 17, 2012 | Dec 31, 2020 | no | BOSTON, MA | Previous registration |
| D••••••• S••••••• L•• | Former SEC adviser | Nov 26, 2009 | Aug 31, 2010 | no | RANCHO SANTA MARGARITA, CA|EXCELSIOR, MN|RANCHO MARGARITA, CA|WEST CHESTER, PA|WEST CHESTER, PA|WEST CHESTER, PA | Previous registration |
| 4 |
| Bulk transfer |
| Other |
| D••••••• S••••••• L•• | A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Aug 31, 2010 | Jan 17, 2012 | 504 | Firm change after gap | Other |