DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
PLYMOUTH, MN | LOMPOC, 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 |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jan 4, 2022 | n/a | yes | PLYMOUTH, MN|LOMPOC, CA | Current employment |
| V•••• F•••••••• M••••••••• I••• | Former SEC adviser | Oct 9, 2018 | Jan 7, 2022 | no | Lompoc, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V•••• F•••••••• M••••••••• I••• | W••••• E••••••••• A••••••• S•••••••• L•• | Jan 7, 2022 | Jan 4, 2022 | -3 | Firm change | RIA to ibd |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | V•••• F•••••••• M••••••••• I••• | Oct 3, 2018 | Oct 9, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 281392:116407:CA:2022-01-07 | Jan 7, 2022 | Jan 4, 2022 | LOMPOC, CA | Firm change |
| 149018:281392:CA:2018-10-03 | Oct 3, 2018 | Oct 9, 2018 | LOMPOC, CA | Firm change |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Sep 29, 2009 | Oct 3, 2018 | no | LOMPOC, CA|LOMPOC, CA | Previous registration |
| S••••••• C•••••• G•••• | n/a | Jan 8, 2003 | Dec 31, 2009 | no | LOMPOC, CA | Previous registration |
| 6 |
| Firm change |
| Ibd to RIA |
| S••••••• C•••••• G•••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Dec 31, 2009 | Sep 29, 2009 | -93 | Firm change after gap | Other |