DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N••• F•••••••• S•••••••
TUCSON, AZ
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 |
|---|---|---|---|---|---|---|
| N••• F•••••••• S••••••• | Independent wealth | Apr 5, 2016 | n/a | yes | TUCSON, AZ | Current employment |
| M••••••• P••••••• S••••••••• L•• | State registered | Sep 9, 2013 | Feb 28, 2017 | no | BREA, CA|BREA, CA|Glendora, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••••• P••••••• S••••••••• L•• | N••• F•••••••• S••••••• | Feb 28, 2017 | Apr 5, 2016 | -329 | Firm change after gap | Other |
| A••••••• C•••••• M••••••••• L•• | V••••••••• A••••••• S••••••• | May 9, 2013 | Aug 19, 2010 |
| V••••••••• A••••••• S••••••• | Bd affiliated wealth | Aug 19, 2010 | Dec 6, 2011 | no | WOODBURY, NY | Previous registration |
| A••••••• C•••••• M••••••••• L•• | Independent wealth | Jun 15, 2010 | May 9, 2013 | no | n/a | Previous registration |
| C•••••••• F••••••••• I••• | Bd affiliated wealth | Feb 4, 2000 | Jan 31, 2008 | no | ORANGE, CA|ANAHEIM, CA | Previous registration |
| -994 |
| Firm change after gap |
| Other |
| V••••••••• A••••••• S••••••• | M••••••• P••••••• S••••••••• L•• | Dec 6, 2011 | Sep 9, 2013 | 643 | Firm change after gap | Other |
| C•••••••• F••••••••• I••• | A••••••• C•••••• M••••••••• L•• | Jan 31, 2008 | Jun 15, 2010 | 866 | Firm change after gap | Other |