DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
SEATTLE, WA
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 22, 2009 | n/a | yes | SEATTLE, WA | Current employment |
| F•••••••• A•••••••• A••••••• S••••••• | Former SEC adviser | Sep 9, 2009 | Dec 20, 2013 | no | OLYMPIA, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• A•••••••• A••••••• S••••••• | n/a | Dec 20, 2013 | n/a | n/a | Departure no registered destination | Departure |
| A••••••••• A•••••• S•••••••• I••• | L•• F•••••••• L•• | May 28, 2009 | May 22, 2009 | -6 |
| A••••••••• A•••••• S•••••••• I••• | n/a | May 9, 2005 | May 28, 2009 | no | BELLEVUE, WA|SEATTLE, WA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 4, 2002 | May 12, 2005 | no | SEATTLE, WA | Previous registration |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | A••••••••• A•••••• S•••••••• I••• | May 12, 2005 | May 9, 2005 | -3 | Firm change | Other |