DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••• W••••• P•••••••• I•••
ONTARIO, CA | Irvine, 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 |
|---|---|---|---|---|---|---|
| F••••• W••••• P•••••••• I••• | Independent wealth | Aug 16, 2022 | n/a | yes | Irvine, CA|ONTARIO, CA | Current employment |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Feb 19, 2009 | Aug 26, 2022 | no | ARLINGTON, VA|COSTA MESA, CA|SANTA ANA, CA|Irvine, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• C•••••• M••••••••• L•• | F••••• W••••• P•••••••• I••• | Aug 26, 2022 | Aug 16, 2022 | -10 | Firm change | RIA to RIA |
| C•••••• S••••• • C••• I••• | E•••••• C•••••• M••••••••• L•• | Oct 20, 2008 | Feb 19, 2009 |
| C•••••• S••••• • C••• I••• | National bd RIA | Nov 1, 2007 | Oct 20, 2008 | no | Irvine, CA | Previous registration |
| W••• I••••••••• I••• | n/a | Aug 26, 2003 | Oct 31, 2007 | no | IRVINE, CA|IRVINE, CA|FULLERTON, CA | Previous registration |
| W•• S••••••••• | n/a | May 20, 2003 | Sep 2, 2003 | no | SANDIEGO, CA | Previous registration |
| 122 |
| Firm change |
| Other |
| W••• I••••••••• I••• | C•••••• S••••• • C••• I••• | Oct 31, 2007 | Nov 1, 2007 | 1 | Firm change | Other |
| W•• S••••••••• | W••• I••••••••• I••• | Sep 2, 2003 | Aug 26, 2003 | -7 | Firm change | Other |