DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Walnut Creek, 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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jun 10, 2016 | n/a | yes | Walnut Creek, CA | Current employment |
| P•••••••• I•••••••• O• A•••••• | Former SEC adviser | Jul 16, 2007 | Jul 22, 2016 | no | WALNUT CREEK, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••••• I•••••••• O• A•••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Jul 22, 2016 | Jun 10, 2016 | -42 | Firm change after gap | Other |
| A••••••••• P••••••• I••••••••• A••••••• I•• | P•••••••• I•••••••• O• A•••••• | Jul 25, 2007 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6082:134139:CA:2016-07-22 | Jul 22, 2016 | Jun 10, 2016 | WALNUT CREEK, CA | Firm change after gap |
| A••••••••• P••••••• I••••••••• A••••••• I•• | n/a | Jul 29, 2005 | Jul 25, 2007 | no | LAFAYETTE, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 21, 2004 | Jul 16, 2004 | no | WALNUT CREEK, CA | Previous registration |
| -9 |
| Firm change |
| Other |
| C•••••• S••••• • C••• I••• | A••••••••• P••••••• I••••••••• A••••••• I•• | Jul 16, 2004 | Jul 29, 2005 | 378 | Firm change | Other |