DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• F•••••••• N••••••
SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | National bd RIA | May 2, 2024 | n/a | yes | SAN DIEGO, CA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Sep 1, 2023 | May 3, 2024 | no | CARLSBAD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | C••••••••• F•••••••• N•••••• | May 3, 2024 | May 2, 2024 | -1 | Firm change | Ibd to ibd |
| S•••••••• F••••••••• I••• | O•••• W•••••• I••• | Sep 1, 2023 | Sep 1, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:8032:CA:2024-05-03 | May 3, 2024 | May 2, 2024 | CARLSBAD, CA | Firm change |
| S•••••••• F••••••••• I••• |
| Former SEC adviser |
| Oct 14, 2016 |
| Sep 1, 2023 |
| no |
| CARLSBAD, CA |
| Previous registration |
| L•••••• C•••••• A•••••••• I••• | Former SEC adviser | Sep 24, 2012 | Oct 3, 2016 | no | MARIETTA, GA | Previous registration |
| I••••••••• A••••••• I••••••••• I••• | n/a | May 4, 2007 | Sep 30, 2010 | no | JOHNS CREEK, GA | Previous registration |
| S••••••••• W••••• M••••••••• L•• | n/a | Oct 25, 2005 | Oct 16, 2006 | no | ATLANTA, GA|ATLANTA, GA | Previous registration |
| R••••••• H••••••• G•••• L•• | n/a | Mar 1, 2005 | Mar 7, 2005 | no | MARIETTA, GA | Previous registration |
| L•••••• C•••••• A•••••••• I••• | Former SEC adviser | May 19, 2003 | May 16, 2006 | no | MARIETTA, GA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| L•••••• C•••••• A•••••••• I••• | S•••••••• F••••••••• I••• | Oct 3, 2016 | Oct 14, 2016 | 11 | Firm change | Other |
| I••••••••• A••••••• I••••••••• I••• | L•••••• C•••••• A•••••••• I••• | Sep 30, 2010 | Sep 24, 2012 | 725 | Firm change after gap | Other |
| S••••••••• W••••• M••••••••• L•• | I••••••••• A••••••• I••••••••• I••• | Oct 16, 2006 | May 4, 2007 | 200 | Firm change | Other |
| L•••••• C•••••• A•••••••• I••• | R••••••• H••••••• G•••• L•• | May 16, 2006 | Mar 1, 2005 | -441 | Firm change after gap | Other |
| R••••••• H••••••• G•••• L•• | S••••••••• W••••• M••••••••• L•• | Mar 7, 2005 | Oct 25, 2005 | 232 | Firm change | Other |