DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T••• E••••••• A•••• M•••••••••
THOUSAND OAKS, 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 |
|---|---|---|---|---|---|---|
| T••• E••••••• A•••• M••••••••• | State registered | Jan 1, 2025 | n/a | yes | THOUSAND OAKS, CA | Current employment |
| G•• A•••• M••••••••• I••• | n/a | Jul 23, 2015 | Oct 24, 2023 | no | THOUSAND OAKS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•• A•••• M••••••••• I••• | T••• E••••••• A•••• M••••••••• | Oct 24, 2023 | Jan 1, 2025 | 435 | Firm change after gap | Other |
| M• A•••• M••••••••• I••• | G•• A•••• M••••••••• I••• | Jun 2, 2015 | Jul 23, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 188517:321979:CA:2023-10-24 | Oct 24, 2023 | Jan 1, 2025 | THOUSAND OAKS, CA | Firm change after gap |
| 169461:188517:CA:2015-06-02 | Jun 2, 2015 | Jul 23, 2015 | PASADENA, CA | Firm change |
| M• A•••• M••••••••• I••• | Former SEC adviser | Jan 3, 2014 | Jun 2, 2015 | no | PASADENA, CA | Previous registration |
| M••••• S•••••• | Wirehouse | May 31, 2011 | Jan 15, 2014 | no | LOS ANGELES, CA | Previous registration |
| T•••• S••••• S••••••••• I••• | Former SEC adviser | May 28, 2008 | Apr 21, 2011 | no | LOS ANGELES, CA | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | Jan 23, 2007 | Apr 10, 2008 | no | LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Aug 11, 2006 | Jan 29, 2007 | no | LOS ANGELES, CA | Previous registration |
| 51 |
| Firm change |
| Other |
| M••••• S•••••• | M• A•••• M••••••••• I••• | Jan 15, 2014 | Jan 3, 2014 | -12 | Firm change | Wirehouse to new firm |
| T•••• S••••• S••••••••• I••• | M••••• S•••••• | Apr 21, 2011 | May 31, 2011 | 40 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | T•••• S••••• S••••••••• I••• | Apr 10, 2008 | May 28, 2008 | 48 | Firm change | Other |
| E•••••••• A•••••••• L•• | C••••• I••••••••• S••••••• L•• | Jan 29, 2007 | Jan 23, 2007 | -6 | Firm change | Other |