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Reading the graph
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Advisor at B••••••••• W••••• A•••••••• L••
WHEATON, IL | Lubbock, TX
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 |
|---|---|---|---|---|---|---|
| B••••••••• W••••• A•••••••• L•• | No RAUM reported | Oct 2, 2024 | n/a | yes | Lubbock, TX|WHEATON, IL | Current employment |
| M••••• O• O•••• I••••••• S•••••••• I••• | Independent wealth | Jan 11, 2019 | Oct 24, 2019 | no | LUBBOCK, TX|IRVING, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• O• O•••• I••••••• S•••••••• I••• | B••••••••• W••••• A•••••••• L•• | Oct 24, 2019 | Oct 2, 2024 | 1,805 | Firm change after gap | Other |
| E•••• F•••••••• A•••••••• L•• | M••••• O• O•••• I••••••• S•••••••• I••• | Dec 11, 2018 | Jan 11, 2019 |
| E•••• F•••••••• A•••••••• L•• | Former SEC adviser | Oct 17, 2014 | Dec 11, 2018 | no | LUBBOCK, TX|FRISCO, TX | Previous registration |
| W•••••• • R••• | Former SEC adviser | Oct 16, 2001 | Apr 25, 2003 | no | LUBBOCK, TX | Previous registration |
| 31 |
| Firm change |
| Other |
| W•••••• • R••• | E•••• F•••••••• A•••••••• L•• | Apr 25, 2003 | Oct 17, 2014 | 4,193 | Firm change after gap | Other |