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Reading the graph
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Advisor at W•••••••• A•••••••• L••
SARASOTA, FL | Lakewood, FL
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•••••••• A•••••••• L•• | Independent wealth | Jun 15, 2021 | n/a | yes | SARASOTA, FL|Lakewood, FL | Current employment |
| C•••••• C••••• G••••• I••• | No RAUM reported | Jun 24, 2013 | Dec 9, 2019 | no | LOS ANGELES, CA|CARMEL, IN|SAN ANTONIO, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• C••••• G••••• I••• | W•••••••• A•••••••• L•• | Dec 9, 2019 | Jun 15, 2021 | 554 | Firm change after gap | Other |
| M•••••• I••••••••• M••••••••• I••• | O•••• W•••••• I••• | Mar 12, 2012 | Dec 21, 2009 |
| O•••• W•••••• I••• | Bd affiliated wealth | Dec 21, 2009 | Mar 2, 2012 | no | SCOTTSDALE, AZ|SCOTTSDALE, AZ|HOLMES BEACH, FL | Previous registration |
| M•••••• I••••••••• M••••••••• I••• | Independent wealth | Dec 16, 2009 | Mar 12, 2012 | no | BRADENTION, FL | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 4, 2008 | Nov 5, 2009 | no | TAMPA, FL | Previous registration |
| -812 |
| Firm change after gap |
| Other |
| O•••• W•••••• I••• | C•••••• C••••• G••••• I••• | Mar 2, 2012 | Jun 24, 2013 | 479 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | M•••••• I••••••••• M••••••••• I••• | Nov 5, 2009 | Dec 16, 2009 | 41 | Firm change | Other |