DFX Intelligence
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Reading the graph
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Advisor at S••• P•••••••• M••••••••• L••
NORMAN, OK
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••• P•••••••• M••••••••• L•• | State registered | Jan 30, 2014 | n/a | yes | NORMAN, OK | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 16, 2009 | Oct 18, 2010 | no | KELLER, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | S••• P•••••••• M••••••••• L•• | Oct 18, 2010 | Jan 30, 2014 | 1,200 | Firm change after gap | Other |
| O•••• F•• I••• | W••••••• F•••••••• S•••••••• I••• | Aug 14, 2006 | Oct 16, 2009 |
| O•••• F•• I••• | Former SEC adviser | Jan 13, 2003 | Aug 14, 2006 | no | DALLAS, TX|ADDISON, TX | Previous registration |
| T•• C•••••• C•••• R•••• L•• | Other adviser | Aug 1, 2002 | Feb 21, 2003 | no | ARLINGTON, TX | Previous registration |
| 1,159 |
| Firm change after gap |
| Other |
| T•• C•••••• C•••• R•••• L•• | O•••• F•• I••• | Feb 21, 2003 | Jan 13, 2003 | -39 | Firm change after gap | Other |