DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••••• S••••••••• I•••
DENVER, CO | DALLAS, 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 |
|---|---|---|---|---|---|---|
| W•••••• S••••••••• I••• | Bd affiliated wealth | Apr 26, 2010 | n/a | yes | DENVER, CO|DALLAS, TX | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jul 17, 2009 | Apr 29, 2010 | no | RICHARDSON, TX|MINNEAPOLIS, MN|DALLAS, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | W•••••• S••••••••• I••• | Apr 29, 2010 | Apr 26, 2010 | -3 | Firm change | Other |
| A••••••••• A•••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 5, 2009 | Jul 17, 2009 |
| A••••••••• A•••••• S•••••••• I••• | n/a | Sep 12, 2007 | Oct 5, 2009 | no | RICHARDSON, TX | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Feb 18, 2004 | Sep 5, 2007 | no | FORT WORTH, TX|MANSFIELD, TX|ARLINGTON, TX|KELLER, TX|FT. WORTH, TX | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | May 11, 1998 | Mar 30, 2004 | no | FORT WORTH, TX | Previous registration |
| -80 |
| Bulk transfer |
| Other |
| M••••• K••••• • C••••••• L•• | A••••••••• A•••••• S•••••••• I••• | Sep 5, 2007 | Sep 12, 2007 | 7 | Firm change | Other |
| W•••• F•••• A••••••• | M••••• K••••• • C••••••• L•• | Mar 30, 2004 | Feb 18, 2004 | -41 | Firm change after gap | Other |