DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D•••••••• A••••••• S•••••••• L••
Santa Rosa, CA | SOUTH JORDAN, UT
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 |
|---|---|---|---|---|---|---|
| D•••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Oct 3, 2023 | n/a | yes | SOUTH JORDAN, UT|Santa Rosa, CA | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 14, 2012 | Sep 2, 2022 | no | Windsor, CA|Roseville, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | D•••••••• A••••••• S•••••••• L•• | Sep 2, 2022 | Oct 3, 2023 | 396 | Firm change | Ibd to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••••••• F•••••••• S•••••••• L•• | May 15, 2012 | May 14, 2012 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | May 15, 2012 | no | SANTA ROSA, CA|WALNUT CREEK, CA|HEALDSBURG, CA|SANTA ROSA, CA|SEBASTOPOL, CA|CALISTOGA, CA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Feb 5, 2008 | Oct 23, 2009 | no | SANTA ROSA, CA|SEBASTOPOL, CA|CALISTOGA, CA|HEALDSBURG, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 16, 2007 | Feb 5, 2008 | no | IRVINE, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Nov 8, 2005 | Jan 22, 2007 | no | WOODLAND HILLS, CA|OXNARD, CA | Previous registration |
| -1 |
| Firm change |
| Wirehouse to ibd |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| L•• F•••••••• L•• | B••• O• A•••••• I••••••••• S•••••••• I••• | Feb 5, 2008 | Feb 5, 2008 | 0 | Firm change | Other |
| F•• S••••••••• C••••••••• | L•• F•••••••• L•• | Jan 22, 2007 | Jan 16, 2007 | -6 | Firm change | Other |