DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T••••••• S••••••• A•••••••
Rio Rancho, NM | INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| T••••••• S••••••• A••••••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | INDIANAPOLIS, IN|Rio Rancho, NM | Current employment |
| P••••••• C•••••• A•••••••• I••• | Former SEC adviser | Jun 30, 2004 | Jun 28, 2024 | no | Oklahoma City, OK|Shawnee, OK|Rio Rancho, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••• C•••••• A•••••••• I••• | T••••••• S••••••• A••••••• | Jun 28, 2024 | Jun 14, 2024 | -14 | Firm change | RIA to ibd |
| U•• F•••••••• S••••••• I••• | P••••••• C•••••• A•••••••• I••• | Apr 2, 2004 | Jun 30, 2004 |
| U•• F•••••••• S••••••• I••• | Wirehouse | Dec 5, 2002 | Apr 2, 2004 | no | EDMOND, OK | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 28, 2002 | Oct 7, 2002 | no | OKLAHOMA CITY, OK | Previous registration |
| 89 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | U•• F•••••••• S••••••• I••• | Oct 7, 2002 | Dec 5, 2002 | 59 | Firm change | Ibd to wirehouse |