H••••••• G••••

Advisor at C•••••• S••••• • C••• I•••

Thousand Oaks, CA

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Search this name across graphsid dfx:ria:dc3ad81f-7571-1851-1bf3-70e67c7c4442

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2004 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jun 3, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Mar 30, 2026	n/a	yes	Thousand Oaks, CA	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Apr 24, 2006	Apr 29, 2016	no	MANCHESTER, NH\|Manchester, NH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Apr 29, 2016	Mar 30, 2026	3,622	Firm change after gap	Other
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Apr 29, 2016	Apr 24, 2006

Relationships

Registered with (3)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Mar 30, 2026 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 24, 2006 to Apr 29, 2016factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jun 29, 2004 to Apr 29, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc3ad81f-7571-1851-1bf3-70e67c7c4442
First observed: Jun 29, 2004
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.