DFX Intelligence
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Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | May 13, 2010 | n/a | yes | Fullerton, CA|Fullerton, CA|Lakewood, CA|Cerritos, CA|Buena Park, CA | Current employment |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | May 2, 2009 | May 5, 2010 | no | NORTHRIDGE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• I••••••••• S••••••• C•••• | U••• B•••••• A•••••••• L•• | May 5, 2010 | May 13, 2010 | 8 | Firm change | Other |
| W••• I••••••••• I••• | C•••• I••••••••• S••••••• C•••• | May 2, 2009 | May 2, 2009 |
| W••• I••••••••• I••• | n/a | Jan 31, 2008 | May 2, 2009 | no | NORTHRIDGE, CA|SHERMAN OAKS, CA|SHERMAN OAKS, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | May 17, 2004 | Oct 17, 2007 | no | TORRANCE, CA|REDONDO BEACH, CA|REDONDO BEACH, CA|TORRANCE, CA|TORRANCE, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| W•••• F•••• I••••••••• L•• | W••• I••••••••• I••• | Oct 17, 2007 | Jan 31, 2008 | 106 | Firm change | Other |