DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 7, 2022 | n/a | yes | Orem, UT|SANDY, UT|Herriman, UT | Current employment |
| E•••••••• | Independent wealth | Jan 14, 2019 | Apr 28, 2022 | no | MIDVALE, UT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••••• | A••••••••• F•••••••• S•••••••• L•• | Apr 28, 2022 | Apr 7, 2022 | -21 | Firm change | RIA to ibd |
| G••••• S••••••••• I••• | E•••••••• | Feb 1, 2016 | Jan 14, 2019 |
| G••••• S••••••••• I••• | Former SEC adviser | Jun 18, 2014 | Feb 1, 2016 | no | SAN DIEGO, CA|OREM, UT|SALT LAKE CITY, UT | Previous registration |
| F•••• C•••••• F•••••••• P•••••••• I••• | Former SEC adviser | Jun 28, 2013 | Feb 10, 2014 | no | LAS VEGAS, NV | Previous registration |
| W•• A•••••••• L• | Former SEC adviser | Oct 29, 2012 | May 30, 2013 | no | HENDERSON, NV | Previous registration |
| Firm change after gap |
| Other |
| F•••• C•••••• F•••••••• P•••••••• I••• | G••••• S••••••••• I••• | Feb 10, 2014 | Jun 18, 2014 | 128 | Firm change | Other |
| W•• A•••••••• L• | F•••• C•••••• F•••••••• P•••••••• I••• | May 30, 2013 | Jun 28, 2013 | 29 | Firm change | Other |