DFX Intelligence
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Reading the graph
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Advisor at M••••• S••••••
Seattle, WA
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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Jun 8, 2022 | n/a | yes | Seattle, WA | Current employment |
| I••••••••• F•••••••• G••••• L•• | Bd affiliated wealth | Jun 8, 2020 | May 16, 2022 | no | STANWOOD, WA|STANWOOD, WA|MARYSVILLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• F•••••••• G••••• L•• | M••••• S•••••• | May 16, 2022 | Jun 8, 2022 | 23 | Firm change | Ibd to wirehouse |
| M••••••• • E••• L•• | I••••••••• F•••••••• G••••• L•• | Jun 8, 2020 | Jun 8, 2020 |
| M••••••• • E••• L•• | I•••••••••_WEALTH | Aug 7, 2018 | Jun 8, 2020 | no | Arlington, WA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 12, 2015 | May 3, 2018 | no | MARYSVILLE, WA|BELLEVUE, WA|MARYSVILLE, WA|EVERETT, WA|MARYSVILLE, WA | Previous registration |
| B•••• W••••• A•••••••• L•• | I•••••••••_WEALTH | Mar 28, 2013 | Feb 28, 2014 | no | BELLEVUE, WA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 20, 2012 | Mar 17, 2014 | no | BELLEVUE, WA | Previous registration |
| K•• F•••••••• S•••••••• I•• | Former SEC adviser | Oct 23, 2009 | Dec 31, 2010 | no | SEATTLE, WA|SEATTLE, WA|SEATTLE, WA|EDMONDS, WA | Previous registration |
| L•• | Former SEC adviser | Aug 27, 2008 | Mar 23, 2009 | no | SEATTLE, WA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 1, 2006 | May 22, 2008 | no | MILL CREEK, WA|Mill Creek, WA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 7, 2005 | Apr 6, 2005 | no | BELLEVUE, WA | Previous registration |
| 0 |
| Firm change |
| RIA to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••••• • E••• L•• | May 3, 2018 | Aug 7, 2018 | 96 | Firm change | Wirehouse to RIA |
| L•• F•••••••• L•• | B•••• W••••• A•••••••• L•• | Mar 17, 2014 | Mar 28, 2013 | -354 | Firm change after gap | Other |
| B•••• W••••• A•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Feb 28, 2014 | Jun 12, 2015 | 469 | Firm change after gap | Other |
| K•• F•••••••• S•••••••• I•• | L•• F•••••••• L•• | Dec 31, 2010 | Dec 20, 2012 | 720 | Firm change after gap | Other |
| L•• | K•• F•••••••• S•••••••• I•• | Mar 23, 2009 | Oct 23, 2009 | 214 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | L•• | May 22, 2008 | Aug 27, 2008 | 97 | Firm change | Other |