DFX Intelligence
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Advisor at S•••
LOS ANGELES, CA | Fair Lawn, NJ
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 |
|---|---|---|---|---|---|---|
| S••• | Bd affiliated wealth | Oct 20, 2020 | n/a | yes | LOS ANGELES, CA|Fair Lawn, NJ | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Aug 14, 2020 | Oct 16, 2020 | no | LOS ANGELES, CA|Fair Lawn, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | S••• | Oct 16, 2020 | Oct 20, 2020 | 4 | Firm change | Ibd to RIA |
| F•••• A••••• A••••••• S•••••••• I••• | O•••• W•••••• I••• | Jul 25, 2019 | Aug 5, 2019 |
| O•••• W•••••• I••• | Bd affiliated wealth | Aug 5, 2019 | Aug 4, 2020 | no | SCOTTSDALE, AZ | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jun 10, 2019 | Jul 25, 2019 | no | Faifield, NJ | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Aug 18, 2014 | Jul 25, 2017 | no | BASKING RIDGE, NJ|APPLETON, WI | Previous registration |
| Firm change |
| Ibd to ibd |
| I••••• F•••••••• C••••••••• | F•••• A••••• A••••••• S•••••••• I••• | Jul 25, 2017 | Jun 10, 2019 | 685 | Firm change after gap | Other |