DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• M••••••••• L••
WESTMINSTER, CO
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••••• W••••• M••••••••• L•• | State registered | Jan 20, 2022 | n/a | yes | WESTMINSTER, CO | Current employment |
| S••••• W••••• M••••••••• L•• | State registered | Jul 9, 2010 | Dec 31, 2015 | no | DENVER, CO|WESTMINSTER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S••••• W••••• M••••••••• L•• | Jul 13, 2010 | Jul 9, 2010 | -4 | Firm change | Wirehouse to state RIA |
| V•••• F•••••••• A•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 29, 2004 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 17, 2004 | Jul 13, 2010 | no | DENVER, CO|DENVER, CO | Previous registration |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Feb 19, 2004 | Oct 29, 2004 | no | LAKEWOOD, CO | Previous registration |
| M••••• S•••••• D• I••• | n/a | Feb 21, 2002 | Oct 9, 2002 | no | DENVER, CO | Previous registration |
| 19 |
| Firm change |
| Other |
| M••••• S•••••• D• I••• | V•••• F•••••••• A•••••••• I••• | Oct 9, 2002 | Feb 19, 2004 | 498 | Firm change after gap | Other |