DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••• P•••••••• M••••••••• I•••
CARTHAGE, TX | TAMPA, 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 |
|---|---|---|---|---|---|---|
| D••••••• P•••••••• M••••••••• I••• | Independent wealth | Jun 23, 2017 | n/a | yes | CARTHAGE, TX|TAMPA, FL | Current employment |
| S••••• F•••••••• G•••• I•• | Former SEC adviser | Sep 1, 2016 | Jun 30, 2017 | no | OVERLAND PARK, KS|CARTHAGE, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• F•••••••• G•••• I•• | D••••••• P•••••••• M••••••••• I••• | Jun 30, 2017 | Jun 23, 2017 | -7 | Firm change | Other |
| V•• A••••••• S••••••• | S••••• F•••••••• G•••• I•• | Nov 2, 2016 | Sep 1, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 14503:109485:TX:2016-11-02 | Nov 2, 2016 | Sep 1, 2016 | CARTHAGE, TX | Firm change after gap |
| V•• A••••••• S••••••• | Former SEC adviser | Jul 11, 2005 | Nov 2, 2016 | no | CARTHAGE, TX|CARTHAGE, TX|WORDEN, IL|OVERLAND PARK, KS|OVERLAND PARK, KS|OVERLAND PARK, KS|CARTHAGE, TX | Previous registration |
| S••••••••• S••••••••• I••• | n/a | Jun 18, 1989 | Jul 18, 2005 | no | CARTHAGE, TX | Previous registration |
| -62 |
| Channel change |
| Other |
| S••••••••• S••••••••• I••• | V•• A••••••• S••••••• | Jul 18, 2005 | Jul 11, 2005 | -7 | Firm change | Other |