DFX Intelligence
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Reading the graph
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Advisor at S•• A•••••••
RIO RANCHO, NM
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 |
|---|---|---|---|---|---|---|
| S•• A••••••• | State registered | Mar 27, 2023 | n/a | yes | RIO RANCHO, NM | Current employment |
| R•••• A••••••• S•••••••• I••• | Independent wealth | Nov 21, 2007 | Jul 31, 2015 | no | GLENVIEW, IL|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••• A••••••• S•••••••• I••• | S•• A••••••• | Jul 31, 2015 | Mar 27, 2023 | 2,796 | Firm change after gap | Other |
| S•• I••••••••• A•••••••• I••• | R•••• A••••••• S•••••••• I••• | Nov 30, 2007 | Nov 21, 2007 |
| S•• I••••••••• A•••••••• I••• | Former SEC adviser | Dec 21, 2005 | Nov 30, 2007 | no | SAN DIEGO, CA | Previous registration |
| A•••• M••••••••• S••••••••• L••••• | n/a | Jun 17, 2004 | Dec 6, 2005 | no | SAN DIEGO, CA | Previous registration |
| -9 |
| Firm change |
| Other |
| A•••• M••••••••• S••••••••• L••••• | S•• I••••••••• A•••••••• I••• | Dec 6, 2005 | Dec 21, 2005 | 15 | Firm change | Other |