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Advisor at FINANCIAL FOCUS LLC
CARLSBAD, 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 |
|---|---|---|---|---|---|---|
| FINANCIAL FOCUS LLC | Independent wealth | Aug 3, 2016 | n/a | yes | CARLSBAD, CA | Current employment |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Jun 13, 2000 | Oct 26, 2017 | no | CARLSBAD, CA|CARLSBAD, CA | Previous registration |
| FINANCIAL FOCUS | n/a | Jan 12, 2000 | Sep 22, 2016 | no | CARLSBAD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | FINANCIAL FOCUS LLC | Oct 26, 2017 | Aug 3, 2016 | -449 | Firm change after gap | Other |
| FINANCIAL FOCUS | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Sep 22, 2016 | Jun 13, 2000 | -5,945 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:282177:CA:2017-10-26 | Oct 26, 2017 | Aug 3, 2016 | CARLSBAD, CA | Firm change after gap |
| 134904:29604:CA:2016-09-22 | Sep 22, 2016 | Jun 13, 2000 | CARLSBAD, CA | Firm change after gap |