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Reading the graph
Advisor at KEEN CAPITAL, LLC
WESTMINSTER, CO
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 |
|---|---|---|---|---|---|---|
| KEEN CAPITAL, LLC | Independent wealth | Nov 8, 2025 | n/a | yes | WESTMINSTER, CO | Current employment |
| ADVICE AND PLANNING SERVICES | Bd affiliated wealth | Mar 7, 2008 | Oct 15, 2015 | no | NEWPORT BEACH, CA|NEWPORT BEACH, CA|PRINCETON, NJ | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jul 19, 2004 | Jul 8, 2005 | no | NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ADVICE AND PLANNING SERVICES | KEEN CAPITAL, LLC | Oct 15, 2015 | Nov 8, 2025 | 3,677 | Firm change after gap | Other |
| UBS FINANCIAL SERVICES INC. | ADVICE AND PLANNING SERVICES | Jul 8, 2005 | Mar 7, 2008 | 973 | Firm change after gap | Other |