DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at D•••• W••••• S••••••••• I•••
GULF SHORES, AL
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•••• W••••• S••••••••• I••• | State registered | Aug 9, 2018 | n/a | yes | GULF SHORES, AL | Current employment |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Oct 4, 2010 | Jul 27, 2018 | no | GULF SHORES, AL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A••••••• S•••••••• I••• | D•••• W••••• S••••••••• I••• | Jul 27, 2018 | Aug 9, 2018 | 13 | Firm change | Ibd to state RIA |
| G•••••••• I••••••••• M••••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Oct 7, 2010 | Oct 4, 2010 |
| G•••••••• I••••••••• M••••••••• I••• | n/a | Dec 1, 2004 | Oct 7, 2010 | no | GULF SHORES, AL|GULF SHORES, AL | Previous registration |
| X•••• F•••••••• P•••••••• I••• | n/a | Aug 20, 2004 | Dec 1, 2004 | no | GULF SHORES, AL | Previous registration |
| X•••• F•••••••• P•••••••• I••• | n/a | Jan 16, 2003 | Jul 26, 2004 | no | FOLEY, AL | Previous registration |
| X•••• I••••••••• S•••••••• I••• | n/a | Feb 27, 2001 | Jan 16, 2003 | no | FOLEY, AL | Previous registration |
| -3 |
| Firm change |
| Other |
| X•••• F•••••••• P•••••••• I••• | G•••••••• I••••••••• M••••••••• I••• | Dec 1, 2004 | Dec 1, 2004 | 0 | Firm change | Other |
| X•••• I••••••••• S•••••••• I••• | X•••• F•••••••• P•••••••• I••• | Jan 16, 2003 | Jan 16, 2003 | 0 | Firm change | Other |