DFX Intelligence
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Reading the graph
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Advisor at M•••••• W••••• M••••••••• L••
LAS VEGAS, NV
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 |
|---|---|---|---|---|---|---|
| M•••••• W••••• M••••••••• L•• | Former SEC adviser | Apr 15, 2016 | n/a | yes | LAS VEGAS, NV | Current employment |
| U•• F•••••••• S••••••• I••• | Wirehouse | Dec 5, 2008 | Apr 26, 2016 | no | WESTLAKE VILLAGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | M•••••• W••••• M••••••••• L•• | Apr 26, 2016 | Apr 15, 2016 | -11 | Firm change | Wirehouse to new firm |
| M••••• S•••••• • C•• L•• | U•• F•••••••• S••••••• I••• | Dec 8, 2008 | Dec 5, 2008 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:282687:CA:2016-04-26 | Apr 26, 2016 | Apr 15, 2016 | WESTLAKE VILLAGE, CA | Firm change |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Dec 8, 2008 | no | THOUSAND OAKS, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jul 18, 2002 | Apr 2, 2007 | no | THOUSAND OAKS, CA|THOUSAND OAK, CA | Previous registration |
| -3 |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |