DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Baton Rouge, LA | WALNUT CREEK, 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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 24, 2014 | n/a | yes | WALNUT CREEK, CA|Baton Rouge, LA | Current employment |
| W•••• F•••• A••••••• | Wirehouse | Apr 20, 2012 | Jan 8, 2015 | no | LOS GATOS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | A••••••••• F•••••••• S•••••••• L•• | Jan 8, 2015 | Dec 24, 2014 | -15 | Firm change | Wirehouse to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••• F•••• A••••••• | Apr 24, 2012 | Apr 20, 2012 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | Apr 24, 2012 | no | SAN JOSE, CA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Jul 30, 2007 | Oct 23, 2009 | no | SAN JOSE, CA | Previous registration |
| -4 |
| Firm change |
| Wirehouse to wirehouse |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |