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Reading the graph
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Advisor at V••••• W••••• S••••••••• L••
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| V••••• W••••• S••••••••• L•• | Independent wealth | Oct 20, 2017 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| V••••• W••••• S••••••••• | n/a | May 16, 2017 | Dec 31, 2017 | no | San Dimas, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••••• W••••• S••••••••• | V••••• W••••• S••••••••• L•• | Dec 31, 2017 | Oct 20, 2017 | -72 | Firm change after gap | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | V••••• W••••• S••••••••• | Nov 29, 2017 | May 16, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 282275:289737:CA:2017-12-31 | Dec 31, 2017 | Oct 20, 2017 | SAN DIMAS, CA | Firm change after gap |
| 29604:282275:CA:2017-11-29 | Nov 29, 2017 | May 16, 2017 | LAKE FOREST, CA | Firm change after gap |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Nov 11, 2009 | Nov 29, 2017 | no | SAN DIMAS, CA|LAKE FOREST, CA | Previous registration |
| -197 |
| Firm change after gap |
| Other |