DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
TUCSON, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 29, 2021 | n/a | yes | TUCSON, AZ | Current employment |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Jan 11, 2011 | Oct 10, 2011 | no | DES MOINES, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••• F•••••••• A•••••••• I••• | V••• F•••••••• P•••••••• L•• | Nov 29, 2021 | Jan 11, 2011 | -3,975 | Firm change after gap | Other |
| V••• F•••••••• P•••••••• L•• | L•• F•••••••• L•• | Oct 10, 2011 | Nov 29, 2021 |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jan 6, 2011 | Nov 29, 2021 | no | WINDSOR, CT|TUCSON, AZ|Windsor, CT | Previous registration |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Nov 4, 2008 | Dec 31, 2010 | no | TUCSON, AZ|TUCSON, AZ|REDLANDS, CA|TUCSON, AZ | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Mar 19, 2003 | Oct 13, 2008 | no | TUCSON, AZ|TUCSON, AZ | Previous registration |
| 3,703 |
| Firm change after gap |
| Other |
| V••• F•••••••• P•••••••• L•• | V••• F•••••••• A•••••••• I••• | Dec 31, 2010 | Jan 6, 2011 | 6 | Firm change | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | V••• F•••••••• P•••••••• L•• | Oct 13, 2008 | Nov 4, 2008 | 22 | Firm change | Other |