DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Tampa, FL | Westlake, 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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | May 28, 2020 | n/a | yes | Westlake, TX|Tampa, FL | Current employment |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX|Tampa, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• I••••••••• S••••••• C•••••• | C•••••• S••••• • C••• I••• | May 24, 2020 | May 28, 2020 | 4 | Bulk transfer | Ibd to ibd |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jun 6, 2017 | Jan 8, 2018 | no | Tampa, FL | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 5, 2009 | May 3, 2017 | no | FORT WORTH, TX|PLANO, TX|SOUTHLAKE, TX | Previous registration |
| A••••••••• A•••••• S•••••••• I••• | n/a | Jun 30, 2003 | Oct 5, 2009 | no | FT. WORTH, TX|RICHARDSON, TX|FT. WORTH, TX | Previous registration |
| C•••••• L•• | Independent wealth | Oct 3, 2002 | Jul 10, 2003 | no | FORT WORTH, TX | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | U••• F•••••••• P••••••• S••••••• | May 3, 2017 | Jun 6, 2017 | 34 | Firm change | Other |
| A••••••••• A•••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 5, 2009 | Oct 5, 2009 | 0 | Bulk transfer | Other |
| C•••••• L•• | A••••••••• A•••••• S•••••••• I••• | Jul 10, 2003 | Jun 30, 2003 | -10 | Bulk transfer | Other |