DFX Intelligence
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Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
LOS ANGELES, CA | Culver City, 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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 23, 2015 | n/a | yes | LOS ANGELES, CA|Culver City, CA | Current employment |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | May 17, 2010 | Dec 18, 2015 | no | LOS ANGELES, CA|LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• S••••• S••••••••• •••• L•• | U•• F•••••••• S••••••• I••• | Dec 18, 2015 | Nov 23, 2015 | -25 | Bulk transfer | Other |
| U•• F•••••••• S••••••• I••• | C••••• S••••• S••••••••• •••• L•• | May 20, 2010 | May 17, 2010 |
| U•• I••••••••• I••• | n/a | Sep 30, 2009 | Oct 29, 2009 | no | LOS ANGELES, CA|NEW YORK, NY | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 30, 2009 | May 20, 2010 | no | LOS ANGELES, CA | Previous registration |
| -3 |
| Firm change |
| Other |
| U•• I••••••••• I••• | U•• F•••••••• S••••••• I••• | Oct 29, 2009 | Sep 30, 2009 | -29 | Firm change | Other |