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Advisor at C••••••
SEATTLE, WA
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•••••• | Independent wealth | Feb 20, 2023 | n/a | yes | SEATTLE, WA | Current employment |
| C••••••• P•••••• W••••• M••••••••• | Former SEC adviser | Sep 23, 2021 | Aug 31, 2023 | no | SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• P•••••• W••••• M••••••••• | C•••••• | Aug 31, 2023 | Feb 20, 2023 | -192 | Bulk transfer | RIA to RIA |
| B•• F••••• O•••••• L•• | C••••••• P•••••• W••••• M••••••••• | Dec 8, 2010 | Sep 23, 2021 |
| B•• F••••• O•••••• L•• |
| Bank affiliated wealth |
| Jan 19, 2007 |
| Dec 8, 2010 |
| no |
| SEATTLE, WA|CHICAGO, IL |
| Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jun 11, 2002 | May 4, 2005 | no | ANCHORAGE, AK | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jan 27, 2000 | May 3, 2002 | no | SEATTLE, WA | Previous registration |
| 3,942 |
| Firm change after gap |
| Other |
| W•••• F•••• I••••••••• L•• | B•• F••••• O•••••• L•• | May 4, 2005 | Jan 19, 2007 | 625 | Firm change after gap | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••• F•••• I••••••••• L•• | May 3, 2002 | Jun 11, 2002 | 39 | Firm change | Other |