DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••••••• W••• A•••• M••••••••• L••
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| M•••••••• W••• A•••• M••••••••• L•• | Independent wealth | Jun 1, 2016 | n/a | yes | LOS ANGELES, CA | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Dec 16, 2011 | Jun 7, 2016 | no | Los Angeles, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | M•••••••• W••• A•••• M••••••••• L•• | Jun 7, 2016 | Jun 1, 2016 | -6 | Firm change | Wirehouse to new firm |
| R•• C•••••• M••••••• L•• | J••• M••••• S••••••••• L•• | Dec 22, 2011 | Dec 16, 2011 |
| R•• C•••••• M••••••• L•• | National bd RIA | May 6, 2009 | Dec 22, 2011 | no | BEVERLY HILLS, CA|SAN LUIS OBISPO, CA|BEVERLY HILLS, CA | Previous registration |
| A••••••••• L••• | Other adviser | Sep 5, 2007 | May 6, 2009 | no | LOS ANGELES, CA | Previous registration |
| -6 |
| Firm change |
| Ibd to wirehouse |
| A••••••••• L••• | R•• C•••••• M••••••• L•• | May 6, 2009 | May 6, 2009 | 0 | Firm change | Other |