DFX Intelligence
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Reading the graph
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Advisor at C•••• F••••••••• L••
ELMIRA, OR
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••••••••• L•• | State registered | Sep 19, 2024 | n/a | yes | ELMIRA, OR | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | Sep 19, 2024 | no | ELMIRA, OR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | C•••• F••••••••• L•• | Sep 19, 2024 | Sep 19, 2024 | 0 | Firm change | Ibd to state RIA |
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 |
| S••••••••• A•••••• A•••••••• I••• |
| Former SEC adviser |
| Jan 23, 2009 |
| Jun 14, 2024 |
| no |
| ELMIRA, OR |
| Previous registration |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Mar 22, 2006 | Jan 23, 2009 | no | FOLSOM, CA|EUGENE, OR | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| B••••• • Y•••• A•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jan 23, 2009 | Jan 23, 2009 | 0 | Bulk transfer | Other |