DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at BLACK DOG FINANCIAL LTD.
AUSTIN, TX
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 |
|---|---|---|---|---|---|---|
| BLACK DOG FINANCIAL LTD. | State registered | Mar 7, 2012 | n/a | yes | AUSTIN, TX | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Dec 16, 2009 | Dec 16, 2011 | no | AUSTIN, TX|AUSTIN, TX|SAN DIEGO, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Dec 21, 2009 | no | Austin, TX | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Feb 21, 2006 | Jun 1, 2009 | no | AUSTIN, TX|AUSTIN, TX|NEW YORK, NY|AUSTIN, TX | Previous registration |
| LEGG MASON WOOD WALKER, INCORPORATED | n/a | Dec 1, 2004 | Feb 21, 2006 | no | AUSTIN, TX | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Jul 4, 2003 | Dec 1, 2004 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | BLACK DOG FINANCIAL LTD. | Dec 16, 2011 | Mar 7, 2012 | 82 | Firm change | Other |
| MORGAN STANLEY | LPL FINANCIAL LLC | Dec 21, 2009 | Dec 16, 2009 | -5 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| LEGG MASON WOOD WALKER, INCORPORATED | CITIGROUP GLOBAL MARKETS INC. | Feb 21, 2006 | Feb 21, 2006 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | LEGG MASON WOOD WALKER, INCORPORATED | Dec 1, 2004 | Dec 1, 2004 | 0 | Firm change | Other |