DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S•••••• P•••••••
IRVINE, CA | O••••, NE
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 |
|---|---|---|---|---|---|---|
| C•••••• S•••••• P••••••• | Former SEC adviser | Sep 16, 2014 | n/a | yes | IRVINE, CA|O••••, NE | Current employment |
| F•••••••• W••• G•••• | Former SEC adviser | Aug 31, 2004 | Sep 15, 2014 | no | W•••LAKE VILLAGE, CA|O••••, NE|O••••, NE|O••••, NE|W•••LAKE VILLAGE, CA|O••••, NE|IRVINE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••• G•••• | C•••••• S•••••• P••••••• | Sep 15, 2014 | Sep 16, 2014 | 1 | Firm change | Other |
| M••••• O• O•••• I••••••• S•••••••• I••• | F•••••••• W••• G•••• | Jan 13, 2004 | Aug 31, 2004 |
| M••••• O• O•••• I••••••• S•••••••• I••• | Independent wealth | Feb 18, 2003 | Jan 13, 2004 | no | O••••, NE | Previous registration |
| 231 |
| Firm change |
| Other |