DFX Intelligence
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Reading the graph
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Advisor at S•••••••• W••••• A••••••• L••
HOUSTON, TX
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 |
|---|---|---|---|---|---|---|
| S•••••••• W••••• A••••••• L•• | Independent wealth | Jan 17, 2020 | n/a | yes | HOUSTON, TX | Current employment |
| S•••••••• W••••• A••••••• L•• | Independent wealth | Jun 30, 2015 | Dec 31, 2019 | no | HOUSTON, TX|CORPUS CHRISTI, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | S•••••••• W••••• A••••••• L•• | Jul 20, 2009 | Jun 30, 2015 | 2,171 | Firm change after gap | Wirehouse to new firm |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jul 20, 2009 | no | Rockport, TX | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | CORPUS CHRISTI, TX | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jun 27, 2000 | Apr 2, 2007 | no | CORPUS CHRISTI, TX | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |