DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
CARLSBAD, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 28, 2022 | n/a | yes | CARLSBAD, CA | Current employment |
| W•••• F•••• A••••••• | Wirehouse | Aug 1, 2008 | Jul 5, 2022 | no | LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | L•• F•••••••• L•• | Jul 5, 2022 | Jun 28, 2022 | -7 | Firm change | Wirehouse to RIA |
| U•• F•••••••• S••••••• I••• | W•••• F•••• A••••••• | Aug 22, 2008 | Aug 1, 2008 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 19616:6413:CA:2022-07-05 | Jul 5, 2022 | Jun 28, 2022 | LA JOLLA, CA | Firm change |
| U•• F•••••••• S••••••• I••• |
| Wirehouse |
| Oct 4, 2002 |
| Aug 22, 2008 |
| no |
| WALNUT CREEK, CA|WALNUT CREEK, CA|SAN MARCOS, CA|CARLSBAD, CA |
| Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Jul 8, 1997 | Oct 17, 2002 | no | PLEASANTON, CA | Previous registration |
| -21 |
| Firm change |
| Wirehouse to wirehouse |
| A• G• E•••••• • S•••• I••• | U•• F•••••••• S••••••• I••• | Oct 17, 2002 | Oct 4, 2002 | -13 | Firm change | Other |