DFX Intelligence
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Reading the graph
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Advisor at A••••••• F••••••••• L•••
FOLSOM, 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 |
|---|---|---|---|---|---|---|
| A••••••• F••••••••• L••• | Bd affiliated wealth | Feb 1, 2016 | n/a | yes | FOLSOM, CA | Current employment |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Oct 29, 2014 | Dec 3, 2015 | no | PASADENA, CA|SANTA BARBARA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• A•• P••••••• S••••••• | A••••••• F••••••••• L••• | Dec 3, 2015 | Feb 1, 2016 | 60 | Firm change | Other |
| C•••••• S••••• • C••• I••• | A••••• A•• P••••••• S••••••• | Sep 26, 2014 | Oct 29, 2014 |
| C•••••• S••••• • C••• I••• | National bd RIA | Feb 27, 2014 | Sep 26, 2014 | no | Santa Barbara, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jun 13, 2001 | Jun 23, 2009 | no | TYSONS CORNER, VA | Previous registration |
| 33 |
| Firm change |
| Other |
| S•••••••• A••••••• L•• | C•••••• S••••• • C••• I••• | Jun 23, 2009 | Feb 27, 2014 | 1,710 | Firm change after gap | Ibd to ibd |