DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N••••••••• S••••••••• L••
COLUMBUS, OH | San Diego, CA
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 |
|---|---|---|---|---|---|---|
| N••••••••• S••••••••• L•• | No RAUM reported | Oct 26, 2022 | n/a | yes | San Diego, CA|COLUMBUS, OH | Current employment |
| N••••••••• I••••••••• A•••••••• L•• | Bd affiliated wealth | Dec 20, 2012 | Oct 25, 2022 | no | COLUMBUS, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••••• I••••••••• A•••••••• L•• | N••••••••• S••••••••• L•• | Oct 25, 2022 | Oct 26, 2022 | 1 | Firm change | Other |
| V•••• F•••••••• A•••••••• I••• | N••••••••• I••••••••• A•••••••• L•• | Dec 13, 2012 | Dec 20, 2012 |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Aug 7, 2008 | Dec 13, 2012 | no | SAN DIEGO, CA|Glendale, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 2, 2005 | Aug 18, 2008 | no | COLORADO SPRINGS, CO|COLORADO CITY, CO|SPRINGFIELD, MA|SPRINGFIELD, MA|GREENWOOD VILLAGE, CO | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Sep 8, 2005 | Dec 31, 2005 | no | DENVER, CO | Previous registration |
| 7 |
| Firm change |
| Other |
| M•• F•••••••• S•••••••• I••• | V•••• F•••••••• A•••••••• I••• | Aug 18, 2008 | Aug 7, 2008 | -11 | Firm change | Other |
| M•••••• I••••••••• F••• S••••••• L•• | M•• F•••••••• S•••••••• I••• | Dec 31, 2005 | Dec 2, 2005 | -29 | Bulk transfer | Other |