DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Omaha, NE | West Des Moines, IA
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Jun 15, 2022 | n/a | yes | West Des Moines, IA|Omaha, NE | Current employment |
| M•••••• H••••••• F•••••••• A••••••• | Independent wealth | Jan 18, 2022 | May 31, 2022 | no | WEST DES MOINES, IA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• H••••••• F•••••••• A••••••• | C•••••• S••••• • C••• I••• | May 31, 2022 | Jun 15, 2022 | 15 | Firm change | RIA to ibd |
| U••• B•••••• I••••••••• I••• | M•••••• H••••••• F•••••••• A••••••• | Dec 24, 2021 | Jan 18, 2022 |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Oct 13, 2021 | Dec 24, 2021 | no | Des Moines, IA | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Jun 3, 2014 | Nov 13, 2020 | no | AMES, IA | Previous registration |
| T• R••• P•••• A••••••• S•••••••• I••• | Bd affiliated wealth | Aug 16, 2012 | May 23, 2014 | no | COLORADO SPRINGS, CO | Previous registration |
| 25 |
| Firm change |
| Ibd to RIA |
| A••••• A•• P••••••• S••••••• | U••• B•••••• I••••••••• I••• | Nov 13, 2020 | Oct 13, 2021 | 334 | Firm change | Ibd to ibd |
| T• R••• P•••• A••••••• S•••••••• I••• | A••••• A•• P••••••• S••••••• | May 23, 2014 | Jun 3, 2014 | 11 | Firm change | Other |