DFX Intelligence
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Reading the graph
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Advisor at C••• L••
••• Locked
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••• L•• | Bd affiliated wealth | Jan 26, 2026 | n/a | yes | OMAHA, NE|Omaha, NE|New Smyrna, FL | Current employment |
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 8, 2024 | Jan 26, 2026 | no | ATLANTA, GA|OMAHA, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | C••• L•• | Jan 26, 2026 | Jan 26, 2026 | 0 | Firm change | Ibd to ibd |
| A•••• P•••• A••••••• | O•••• A••••••• S•••••••• L•• | Nov 8, 2024 | Nov 8, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 109485:158935:FL:2016-09-26 | Sep 26, 2016 | Sep 27, 2016 | BOCA RATON, FL | Firm change |
| A•••• P•••• A••••••• | Former SEC adviser | May 20, 2019 | Nov 8, 2024 | no | OMAHA, NE | Previous registration |
| W••••••••• P••••••• | Former SEC adviser | Sep 27, 2016 | May 16, 2019 | no | OMAHA, NE | Previous registration |
| S••••• F•••••••• G•••• I•• | Former SEC adviser | Sep 1, 2016 | Sep 26, 2016 | no | BOCA RATON, FL | Previous registration |
| V•• A••••••• S••••••• | Former SEC adviser | Jan 21, 2011 | Sep 2, 2016 | no | OMAHA, NE|OVERLAND PARK, KS | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Aug 12, 2005 | Jan 21, 2011 | no | OVERLAND PARK, KS|OMAHA, NE|OMAHA, NE | Previous registration |
| C••••• A••••••• L•• | Former SEC adviser | Dec 15, 2004 | Mar 16, 2005 | no | OMAHA, NE | Previous registration |
| F•••••••• S••••••••• I••• | n/a | Mar 6, 1997 | Jul 22, 2005 | no | OMAHA, NE | Previous registration |
| Bulk transfer |
| Ibd to ibd |
| W••••••••• P••••••• | A•••• P•••• A••••••• | May 16, 2019 | May 20, 2019 | 4 | Firm change | RIA to ibd |
| S••••• F•••••••• G•••• I•• | W••••••••• P••••••• | Sep 26, 2016 | Sep 27, 2016 | 1 | Firm change | Other |
| V•• A••••••• S••••••• | S••••• F•••••••• G•••• I•• | Sep 2, 2016 | Sep 1, 2016 | -1 | Bulk transfer | Other |
| N•• E•••••• S••••••••• C••••••••• | V•• A••••••• S••••••• | Jan 21, 2011 | Jan 21, 2011 | 0 | Firm change | Other |
| F•••••••• S••••••••• I••• | C••••• A••••••• L•• | Jul 22, 2005 | Dec 15, 2004 | -219 | Firm change after gap | Other |
| C••••• A••••••• L•• | N•• E•••••• S••••••••• C••••••••• | Mar 16, 2005 | Aug 12, 2005 | 149 | Firm change | Other |