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Reading the graph
Advisor at D.A. DAVIDSON & CO.
Ventura, CA | THOUSAND OAKS, 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 |
|---|---|---|---|---|---|---|
| D.A. DAVIDSON & CO. | Independent wealth | Nov 25, 2013 | n/a | yes | Ventura, CA|THOUSAND OAKS, CA | Current employment |
| CROWELL WEEDON & CO. | Former SEC adviser | Nov 4, 2013 | Nov 25, 2013 | no | VENTURA, CA | Previous registration |
| CROWELL, WEEDON & CO. | Former SEC adviser | Nov 19, 2010 | Nov 4, 2013 | no | WESTLAKE VILLAGE, CA|VENTURA, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jul 8, 1997 | Nov 26, 2010 | no | OXNARD, CA|OXNARD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CROWELL WEEDON & CO. | D.A. DAVIDSON & CO. | Nov 25, 2013 | Nov 25, 2013 | 0 | Bulk transfer | Other |
| CROWELL, WEEDON & CO. | CROWELL WEEDON & CO. | Nov 4, 2013 | Nov 4, 2013 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | CROWELL, WEEDON & CO. | Nov 26, 2010 | Nov 19, 2010 | -7 | Firm change | Other |