DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Omaha, NE | North Bend, 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•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Oct 5, 2016 | n/a | yes | North Bend, NE|Omaha, NE | Current employment |
| D••• D••••••• • C•• | Independent wealth | Jul 29, 2016 | Oct 11, 2016 | no | COLUMBUS, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••• D••••••• • C•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Oct 11, 2016 | Oct 5, 2016 | -6 | Firm change | Other |
| S•••• H•••• A••••••• I•• | D••• D••••••• • C•• | Jul 28, 2016 | Jul 29, 2016 |
| S•••• H•••• A••••••• I•• | Former SEC adviser | Jul 9, 2013 | Jul 28, 2016 | no | LINCOLN, NE|COLUMBUS, NE | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Jul 11, 2011 | Jul 1, 2013 | no | OMAHA, NE | Previous registration |
| E••••• J•••• | National bd RIA | Jan 8, 2010 | Jul 11, 2011 | no | DAVID CITY, NE|FREMONT, NE | Previous registration |
| 1 |
| Bulk transfer |
| Other |
| R•• C•••••• M••••••• L•• | S•••• H•••• A••••••• I•• | Jul 1, 2013 | Jul 9, 2013 | 8 | Firm change | Other |
| E••••• J•••• | R•• C•••••• M••••••• L•• | Jul 11, 2011 | Jul 11, 2011 | 0 | Firm change | Ibd to ibd |