DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• F•••••••• C•••••••• L••
SAN ANTONIO, TX | DERIDDER, LA
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•••••••• F•••••••• C•••••••• L•• | Independent wealth | Aug 25, 2009 | n/a | yes | DERIDDER, LA|SAN ANTONIO, TX | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 15, 2012 | Oct 15, 2012 | no | DERIDDER, LA|SAN DIEGO, CA|DERIDDER, LA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | n/a | Oct 15, 2012 | n/a | n/a | Departure no registered destination | Departure |
| M••••• S•••••• C••••••••• | S•••••••• F•••••••• C•••••••• L•• | Aug 25, 2009 | Aug 25, 2009 | 0 |
| M••••• S•••••• C••••••••• | n/a | Feb 4, 2009 | Aug 25, 2009 | no | DE RIDDER, LA|DERIDDER, LA|LAFAYETTE, LA | Previous registration |
| S•••••••• F••••••••• I••• | Former SEC adviser | Oct 31, 2008 | Feb 3, 2009 | no | DERIDDER, LA | Previous registration |
| A••••••• G•••••• S••••••••• I••••••••• | n/a | Mar 26, 2008 | Oct 31, 2008 | no | DERIDDER, LA|HOUSTON, TX|DERIDDER, LA | Previous registration |
| Firm change |
| Other |
| S•••••••• F••••••••• I••• | M••••• S•••••• C••••••••• | Feb 3, 2009 | Feb 4, 2009 | 1 | Firm change | Other |
| A••••••• G•••••• S••••••••• I••••••••• | S•••••••• F••••••••• I••• | Oct 31, 2008 | Oct 31, 2008 | 0 | Bulk transfer | Other |