DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• S••••••••• L••
Concord, CA | Overland Park, KS
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 |
|---|---|---|---|---|---|---|
| C••••••••• S••••••••• L•• | Bd affiliated wealth | Oct 25, 2016 | n/a | yes | Overland Park, KS|Concord, CA | Current employment |
| I•••••••• A•••••••• L•• | Bd affiliated wealth | Mar 5, 2015 | Oct 26, 2016 | no | WALNUT CREEK, CA|BOISE, ID |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I•••••••• A•••••••• L•• | C••••••••• S••••••••• L•• | Oct 26, 2016 | Oct 25, 2016 | -1 | Firm change | Other |
| C••••••••• S••••••••• L•• | I•••••••• A•••••••• L•• | Mar 5, 2015 | Mar 5, 2015 |
| C••••••••• S••••••••• L•• | Bd affiliated wealth | Mar 4, 2014 | Mar 5, 2015 | no | WALNUT CREEK, CA|Overland Park, KS | Previous registration |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 15, 2008 | Jan 12, 2009 | no | WALNUT CREEK, CA | Previous registration |
| A•••••• F•••••••• A•• I•••••••• S•••••••• L•• | n/a | Jan 24, 2007 | Mar 5, 2014 | no | WALNUT CREEK, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 4, 2003 | Jan 3, 2007 | no | WALNUT CREEK, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 29, 2003 | Mar 31, 2003 | no | CONCORD, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 8, 2001 | Dec 31, 2002 | no | CONCORD, CA | Previous registration |
| 0 |
| Firm change |
| Other |
| A•••••• F•••••••• A•• I•••••••• S•••••••• L•• | W••••••• F•••••••• S•••••••• I••• | Mar 5, 2014 | Dec 15, 2008 | -1,906 | Firm change after gap | Other |
| W••••••• F•••••••• S•••••••• I••• | C••••••••• S••••••••• L•• | Jan 12, 2009 | Mar 4, 2014 | 1,877 | Firm change after gap | Other |
| F•• S••••••••• C••••••••• | A•••••• F•••••••• A•• I•••••••• S•••••••• L•• | Jan 3, 2007 | Jan 24, 2007 | 21 | Firm change | Other |
| S••••••••• A•••••• A•••••••• I••• | F•• S••••••••• C••••••••• | Mar 31, 2003 | Apr 4, 2003 | 4 | Firm change | Other |