DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
WICHITA FALLS, TX
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 22, 2018 | n/a | yes | WICHITA FALLS, TX | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 28, 2016 | Oct 23, 2018 | no | Spokane, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | L•• F•••••••• L•• | Oct 23, 2018 | Oct 22, 2018 | -1 | Firm change | Ibd to RIA |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 28, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283330:6413:WA:2018-10-23 | Oct 23, 2018 | Oct 22, 2018 | SPOKANE, WA | Firm change |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Apr 15, 2016 | Sep 22, 2016 | no | SPOKANE VALLEY, WA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 28, 1996 | May 14, 2015 | no | SPOKANE, WA|Spokane, WA|Spokane, WA | Previous registration |
| -147 |
| Bulk transfer |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | N•• A•••••• S•••••••• L•• | May 14, 2015 | Apr 15, 2016 | 337 | Firm change | Other |