DFX Intelligence
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Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Westlake, TX | Wentzville, MO
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 2, 2023 | n/a | yes | Wentzville, MO|Westlake, TX | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 2, 2018 | Jan 20, 2023 | no | St Louis, MO|St Louis, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Jan 20, 2023 | Jan 2, 2023 | -18 | Channel change | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Aug 2, 2018 |
| T• A••••••••• I••• | Former SEC adviser | Jan 17, 2018 | Oct 14, 2022 | no | St Louis, MO|St. Louis, MO|OMAHA, NE|St Louis, MO|OMAHA, NE | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jan 19, 2017 | Apr 7, 2018 | no | SAINT LOUIS, MO | Previous registration |
| -1,534 |
| Bulk transfer |
| Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••• | Apr 7, 2018 | Jan 17, 2018 | -80 | Channel change | Other |