DFX Intelligence
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Reading the graph
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Advisor at E••••• J••••
HOUSTON, TX
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 |
|---|---|---|---|---|---|---|
| E••••• J•••• | National bd RIA | Mar 15, 2019 | n/a | yes | HOUSTON, TX | Current employment |
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Nov 29, 2018 | Apr 8, 2019 | no | HOUSTON, TX|Houston, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | E••••• J•••• | Apr 8, 2019 | Mar 15, 2019 | -24 | Firm change | Ibd to ibd |
| H•••••••• P•••••• C••••• | H•••••••• A•••••••• L•• | Dec 31, 2018 | Nov 29, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 288687:145323:TX:2018-12-31 | Dec 31, 2018 | Nov 29, 2018 | HOUSTON, TX | Firm change after gap |
| 153914:288687:TX:2017-10-10 | Oct 10, 2017 | Aug 11, 2017 | HOUSTON, TX | Firm change after gap |
| H•••••••• P•••••• C••••• |
| Former SEC adviser |
| Aug 11, 2017 |
| Dec 31, 2018 |
| no |
| HOUSTON, TX |
| Previous registration |
| S•••••• C•••••• A•••••••• L•• | Former SEC adviser | Jul 17, 2015 | Oct 10, 2017 | no | HOUSTON, TX | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jan 11, 2013 | Jul 15, 2015 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| E••••• J•••• | National bd RIA | Nov 1, 2010 | Jul 21, 2011 | no | BELLAIRE, TX|ST LOUIS, MO|KATY, TX | Previous registration |
| Firm change after gap |
| RIA to ibd |
| S•••••• C•••••• A•••••••• L•• | H•••••••• P•••••• C••••• | Oct 10, 2017 | Aug 11, 2017 | -60 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | S•••••• C•••••• A•••••••• L•• | Jul 15, 2015 | Jul 17, 2015 | 2 | Firm change | Other |
| E••••• J•••• | E•••••••• A•••••••• L•• | Jul 21, 2011 | Jan 11, 2013 | 540 | Firm change after gap | Ibd to ibd |