DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H• W••••• P••••••• L••
LONG BEACH, CA
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 |
|---|---|---|---|---|---|---|
| H• W••••• P••••••• L•• | State registered | Jun 14, 2024 | n/a | yes | LONG BEACH, CA | Current employment |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Feb 11, 2009 | Apr 19, 2024 | no | PASADENA, CA|Pasadena, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• I••••••••• S••••••••• | H• W••••• P••••••• L•• | Apr 19, 2024 | Jun 14, 2024 | 56 | Firm change | Ibd to state RIA |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | V•••••• K••••• • A••••••••• L•• | Feb 10, 2009 | May 19, 2008 |
| V•••••• K••••• • A••••••••• L•• | n/a | May 19, 2008 | Feb 9, 2009 | no | EL SEGUNDO, CA | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 27, 2006 | Feb 10, 2009 | no | EL SEGUNDO, CA|LONG BEACH, CA|EL SEGUNDO, CA | Previous registration |
| -267 |
| Firm change after gap |
| Other |
| V•••••• K••••• • A••••••••• L•• | W•••••• I••••••••• S••••••••• | Feb 9, 2009 | Feb 11, 2009 | 2 | Firm change | Other |