DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• I••••••••• P•••••••
SAN DIEGO, CA
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 |
|---|---|---|---|---|---|---|
| S•••••• I••••••••• P••••••• | Mixed wealth | Jul 16, 2020 | n/a | yes | SAN DIEGO, CA | Current employment |
| G••••••••• C•••••• M••••••••• | Former SEC adviser | Apr 19, 2004 | Jun 29, 2011 | no | SUMMIT, NJ|ST. PETERSBURG, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••••••• C•••••• M••••••••• | S•••••• I••••••••• P••••••• | Jun 29, 2011 | Jul 16, 2020 | 3,305 | Firm change after gap | Other |
| R•• C•••••• M••••••• L•• | G••••••••• C•••••• M••••••••• | Mar 17, 2004 | Apr 19, 2004 |
| R•• C•••••• M••••••• L•• | National bd RIA | Feb 27, 2004 | Mar 17, 2004 | no | ST. PETERSBURG, FL | Previous registration |
| W•••••• R• H•••• • C•• | n/a | Jan 2, 1997 | Feb 27, 2004 | no | ST. PETERSBURG, FL | Previous registration |
| 33 |
| Firm change |
| Other |
| W•••••• R• H•••• • C•• | R•• C•••••• M••••••• L•• | Feb 27, 2004 | Feb 27, 2004 | 0 | Firm change | Other |