DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Monte Sereno, CA | Los Gatos, 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 |
|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Oct 4, 2021 | n/a | yes | Los Gatos, CA|Monte Sereno, CA | Current employment |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Aug 21, 2013 | Oct 4, 2021 | no | San Jose, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• J•••• • A••••••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Oct 4, 2021 | Oct 4, 2021 | 0 | Firm change | Ibd to ibd |
| U•• F•••••••• S••••••• I••• | R•••••• J•••• • A••••••••• I••• | Aug 30, 2013 | Aug 21, 2013 |
| U•• F•••••••• S••••••• I••• | Wirehouse | Dec 5, 2008 | Aug 30, 2013 | no | LOS GATOS, CA|SAN JOSE, CA|LOS GATOS, CA|WEEHAWKEN, NJ | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Dec 8, 2008 | no | SAN JOSE, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jul 8, 1997 | Apr 2, 2007 | no | SAN JOSE, CA|SAN JOSE, CA | Previous registration |
| -9 |
| Firm change |
| Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | U•• F•••••••• S••••••• I••• | Dec 8, 2008 | Dec 5, 2008 | -3 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |