DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
PHOENIZ, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | n/a | yes | PHOENIZ, AZ | Current employment |
| R• A•••••• G•••• | Former SEC adviser | Jul 19, 2006 | Aug 15, 2008 | no | SCOTTSDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R• A•••••• G•••• | C••••• I••••••••• A••••••• L•• | Aug 15, 2008 | Jan 21, 2014 | 1,985 | Firm change after gap | Other |
| A••••••••• A•••••• S•••••••• I••• | R• A•••••• G•••• | Jul 6, 2006 | Jul 19, 2006 |
| A••••••••• A•••••• S•••••••• I••• | n/a | Sep 15, 2003 | Jul 6, 2006 | no | SCOTTSDALE, AZ|SCOTTSDALE, AZ | Previous registration |
| Q•••• • R•••••• I••• | n/a | Nov 29, 2002 | Apr 25, 2003 | no | PHOENIX, AZ | Previous registration |
| 13 |
| Firm change |
| Other |
| Q•••• • R•••••• I••• | A••••••••• A•••••• S•••••••• I••• | Apr 25, 2003 | Sep 15, 2003 | 143 | Firm change | Other |