DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
SCOTTSDALE, AZ
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Aug 31, 2023 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 5, 2018 | Jun 14, 2024 | no | APPLETON, WI|APPLETON, WI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Aug 31, 2023 | -288 | Bulk transfer | Ibd to ibd |
| I••••••••• C•••••• O• A••••••• I••• | S•• I••••••••• I••• | Apr 24, 2018 | Oct 14, 2010 |
| S•• I••••••••• I••• | Former SEC adviser | Oct 14, 2010 | Apr 24, 2018 | no | APPLETON, WI | Previous registration |
| I••••••••• C•••••• O• A••••••• I••• | Former SEC adviser | Mar 28, 2006 | Apr 24, 2018 | no | APPLETON, WI|KALISPELL, MT|WHITEFISH, MT | Previous registration |
| -2,749 |
| Channel change |
| Other |
| S•• I••••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Apr 24, 2018 | Jun 5, 2018 | 42 | Firm change | Other |