DFX Intelligence
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Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Georgetown, TX
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Sep 1, 2020 | n/a | yes | Georgetown, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 1, 2020 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• S••••• • C••• I••• | Sep 1, 2020 | Sep 1, 2020 | 0 | Firm change | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Apr 5, 2012 | Jul 13, 2018 | no | AUSTIN, TX|AUSTIN, TX | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Nov 3, 2009 | Jun 28, 2010 | no | AUSTIN, TX | Previous registration |
| E••••• J•••• | National bd RIA | Nov 7, 2007 | Sep 5, 2008 | no | ROUND ROCK, TX|ST LOUIS, MO|ROUND ROCK, TX | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| N•• E•••••• S••••••••• C••••••••• | S•••••••• A••••••• L•• | Jun 28, 2010 | Apr 5, 2012 | 647 | Firm change after gap | Other |
| E••••• J•••• | N•• E•••••• S••••••••• C••••••••• | Sep 5, 2008 | Nov 3, 2009 | 424 | Firm change after gap | Other |