DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Newton, KS
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 | Apr 29, 2021 | n/a | yes | Newton, KS | Current employment |
| U•• F•••••••• S••••••••• L•• | Independent wealth | May 1, 2017 | Apr 29, 2021 | no | Newton, KS|ADA, MI|Wichita, KS |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Apr 29, 2021 | Apr 29, 2021 | 0 | Firm change | RIA to ibd |
| C••••••• F•••••••• D••••••• I••• | U•• F•••••••• S••••••••• L•• | May 8, 2017 | May 1, 2017 |
| C••••••• F•••••••• D••••••• I••• | Bd affiliated wealth | Jul 23, 2009 | May 8, 2017 | no | NEWTON, KS|KOKOMO, IN|Wichita, KS | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jan 3, 2007 | Aug 4, 2009 | no | CHESTERFIELD, MO|NEWTON, KS | Previous registration |
| F•• A••••••• S••••••• I•• | n/a | May 16, 2005 | Jan 3, 2007 | no | NEWTON, KS | Previous registration |
| -7 |
| Firm change |
| Other |
| F•••• A••••• A••••••• S•••••••• I••• | C••••••• F•••••••• D••••••• I••• | Aug 4, 2009 | Jul 23, 2009 | -12 | Firm change | Other |
| F•• A••••••• S••••••• I•• | F•••• A••••• A••••••• S•••••••• I••• | Jan 3, 2007 | Jan 3, 2007 | 0 | Bulk transfer | Other |