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Advisor at U••• B•••••• A•••••••• L••
Saint Paul, MN | Beverly Hills, 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••• B•••••• A•••••••• L•• | Bd affiliated wealth | Feb 13, 2026 | n/a | yes | Beverly Hills, CA|Saint Paul, MN | Current employment |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Nov 7, 2023 | Feb 13, 2026 | no | Saint Paul, MN|Sioux Falls, SD|SPOKANE, WA|Beverly Hills, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Feb 13, 2026 | Feb 13, 2026 | 0 | Bulk transfer | Ibd to ibd |
| P•••• S••••••••• L•• | U••• B•••••• I••••••••• I••• | Aug 15, 2023 | Nov 7, 2023 |
| P•••• S••••••••• L•• | No RAUM reported | Apr 4, 2023 | Aug 15, 2023 | no | EL SEGUNDO, CA|SHERMAN OAKS, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Dec 1, 2021 | no | EL SEGUNDO, CA|MINNEAPOLIS, MN|MINNEAPOLIS, MN|LOS ANGELES, CA|TARPON SPRINGS, FL | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jul 8, 2002 | Jan 3, 2011 | no | LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| 84 |
| Firm change |
| Ibd to ibd |
| W•••• F•••• A••••••• | P•••• S••••••••• L•• | Dec 1, 2021 | Apr 4, 2023 | 489 | Firm change after gap | Wirehouse to ibd |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |