DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I••••••••• F•••••••• G••••• L••
Diamond Bar, 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 |
|---|---|---|---|---|---|---|
| I••••••••• F•••••••• G••••• L•• | Bd affiliated wealth | Dec 14, 2016 | n/a | yes | Diamond Bar, CA | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Dec 14, 2016 | no | ROWLAND HEIGHTS, CA|TORRANCE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | I••••••••• F•••••••• G••••• L•• | Dec 14, 2016 | Dec 14, 2016 | 0 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | May 29, 2012 | Jan 21, 2014 | no | TORRANCE, CA|EL MONTE, CA|ROWLAND HEIGHTS, CA | Previous registration |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Jul 7, 2011 | May 10, 2012 | no | CITY OF INDUSTRY, CA|Glendora, CA | Previous registration |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Dec 12, 2003 | Jul 1, 2011 | no | WEST COVINA, CA|LOS ANGELES, CA|TORRANCE, CA|TORRANCE, CA|REDONDO BEACH, CA|ARCADIA, CA|IRVINE, CA|LOS ANGELES, CA|WEST COVINA, CA|TEMPLE CITY, CA|ROSEMEAD, CA | Previous registration |
| C••••••• I••••••••• S••••••• | n/a | May 12, 2003 | Dec 19, 2003 | no | ROWLAND HEIGHTS, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 5, 2001 | May 6, 2003 | no | LOS ANGELES, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| U••• B•••••• A•••••••• L•• | C••••• I••••••••• S••••••• L•• | May 10, 2012 | May 29, 2012 | 19 | Firm change | Other |
| B••••••• I••••••••• S•••••••• I••• ••••• | U••• B•••••• A•••••••• L•• | Jul 1, 2011 | Jul 7, 2011 | 6 | Firm change | Other |
| C••••••• I••••••••• S••••••• | B••••••• I••••••••• S•••••••• I••• ••••• | Dec 19, 2003 | Dec 12, 2003 | -7 | Firm change | Other |
| L•• F•••••••• L•• | C••••••• I••••••••• S••••••• | May 6, 2003 | May 12, 2003 | 6 | Firm change | Other |