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Reading the graph
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Advisor at M••••• S••••••
San Francisco, 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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Jun 5, 2023 | n/a | yes | San Francisco, CA|San Francisco, CA | Current employment |
| E•••• S••••••••• L•• | Bd affiliated wealth | Feb 28, 2023 | May 24, 2023 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••• S••••••••• L•• | M••••• S•••••• | May 24, 2023 | Jun 5, 2023 | 12 | Firm change | Ibd to wirehouse |
| B••••••• I••••••••• S•••••••• I••• ••••• | E•••• S••••••••• L•• | Nov 27, 2017 | Feb 28, 2023 |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Aug 18, 2016 | Nov 27, 2017 | no | SAN RAMON, CA|OAKLAND, CA | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 1, 2012 | Aug 31, 2016 | no | SAN LORENZO, CA|SAN LEANDRO, CA|RICHMOND, CA|OAKLAND, CA|OAKLAND, CA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Nov 24, 2010 | Oct 1, 2012 | no | SAN LORENZO, CA|OAKLAND, CA|OAKLAND, CA|OAKLAND, CA|SAN LEANDRO, CA|HAYWARD, CA|OAKLAND, CA | Previous registration |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Apr 28, 2010 | Oct 14, 2010 | no | Campbell, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jan 12, 2009 | Sep 24, 2009 | no | SAN LEANDRO, CA | Previous registration |
| 1,919 |
| Firm change after gap |
| Other |
| J••• M••••• S••••••••• L•• | B••••••• I••••••••• S•••••••• I••• ••••• | Aug 31, 2016 | Aug 18, 2016 | -13 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | J••• M••••• S••••••••• L•• | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| N••••••••• M••••• I••••••••• S••••••••• | C•••• I••••••••• S••••••• C•••• | Oct 14, 2010 | Nov 24, 2010 | 41 | Firm change | Other |
| W•••• F•••• I••••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Sep 24, 2009 | Apr 28, 2010 | 216 | Firm change | Other |