DFX Intelligence
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Reading the graph
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Advisor at R•••••• J•••• • A••••••••• I•••
Lincoln, NE
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 |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Jul 20, 2015 | n/a | yes | Lincoln, NE | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | Oct 1, 2004 | Jul 16, 2015 | no | LINCOLN, NE|LINCOLN, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | R•••••• J•••• • A••••••••• I••• | Jul 16, 2015 | Jul 20, 2015 | 4 | Firm change | Ibd to ibd |
| C••••• A•••••• N••••••• L•• | R•• C•••••• M••••••• L•• | Oct 6, 2004 | Oct 1, 2004 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 31194:705:NE:2015-07-16 | Jul 16, 2015 | Jul 20, 2015 | LINCOLN, NE | Firm change |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | May 7, 2004 | Oct 6, 2004 | no | MILFORD, NE | Previous registration |
| P•••••••• • A••••••• I•• | Independent wealth | Mar 18, 2002 | Jan 17, 2003 | no | LINCOLN, NE | Previous registration |
| -5 |
| Firm change |
| Other |
| P•••••••• • A••••••• I•• | C••••• A•••••• N••••••• L•• | Jan 17, 2003 | May 7, 2004 | 476 | Firm change after gap | Other |