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Reading the graph
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Advisor at S•••••• A•••• M••••••••• L••
VANCOUVER, WA | Glendale, 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 |
|---|---|---|---|---|---|---|
| S•••••• A•••• M••••••••• L•• | Independent wealth | Feb 3, 2023 | n/a | yes | VANCOUVER, WA|Glendale, AZ | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 12, 2009 | Dec 31, 2020 | no | SAN DIEGO, CA|SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••• | S•••••• A•••• M••••••••• L•• | Jan 11, 2021 | Feb 3, 2023 | 753 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Jan 12, 2009 |
| T• A••••••••• I••• | Former SEC adviser | Jan 12, 2009 | Jan 11, 2021 | no | San Diego, CA|Scottsdale, AZ | Previous registration |
| S••••• L••• F••••••••• L••• | State registered | Oct 27, 2006 | Apr 13, 2009 | no | GLENDALE, AZ | Previous registration |
| C•• F•••••••• G••••• I••• | Former SEC adviser | Jan 1, 2002 | Jun 11, 2002 | no | PHOENIX, AZ | Previous registration |
| -4,371 |
| Bulk transfer |
| Other |
| S••••• L••• F••••••••• L••• | T• A••••••••• I••••••••• M••••••••• L•• | Apr 13, 2009 | Jan 12, 2009 | -91 | Firm change after gap | Other |
| C•• F•••••••• G••••• I••• | S••••• L••• F••••••••• L••• | Jun 11, 2002 | Oct 27, 2006 | 1,599 | Firm change after gap | Other |