DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••• F••• M••••••••• L••
LADY LAKE, FL | ALLEN, 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 |
|---|---|---|---|---|---|---|
| R•••• F••• M••••••••• L•• | Independent wealth | May 10, 2013 | n/a | yes | ALLEN, TX|LADY LAKE, FL | Current employment |
| A••••••• E•••• R••••••••• | n/a | Feb 13, 2012 | Sep 16, 2013 | no | ALLEN, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• E•••• R••••••••• | R•••• F••• M••••••••• L•• | Sep 16, 2013 | May 10, 2013 | -129 | Firm change after gap | Other |
| 1•• G••••• A••••••• I•• | A••••••• E•••• R••••••••• | Jun 30, 2003 | Feb 13, 2012 |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jul 2, 2001 | Jun 30, 2003 | no | PLANO, TX | Previous registration |
| 3,150 |
| Firm change after gap |
| Other |