DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C••• I••••••••• A•••••••• I•••
HANOVER, MD
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••••••••• A•••••••• I••• | Independent wealth | May 4, 2010 | n/a | yes | HANOVER, MD | Current employment |
| I••••••••• A••••••• C••• | Former SEC adviser | Jul 16, 2009 | Apr 6, 2010 | no | ODENTON, CT|MILLERSVILLE, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• A••••••• C••• | C••• I••••••••• A•••••••• I••• | Apr 6, 2010 | May 4, 2010 | 28 | Firm change | Other |
| F•••••••• W••• G•••• | I••••••••• A••••••• C••• | Jun 26, 2009 | Jul 16, 2009 |
| F•••••••• W••• G•••• | Former SEC adviser | Oct 27, 2008 | Jun 26, 2009 | no | NORTHRIDGE, CA|NORTHRIDGE, CA|W•••LAKE VILLAGE, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Dec 15, 2004 | Jul 12, 2007 | no | OXNARD, CA|OXNARD, CA | Previous registration |
| P••••••••• A••••••• S••••••• L•• | Former SEC adviser | Nov 23, 2004 | Dec 6, 2004 | no | BRENTWOOD, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Aug 26, 2003 | Dec 9, 2004 | no | WOODLAND HILLS, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 16, 2003 | Jun 20, 2003 | no | COLUMBIA, MD | Previous registration |
| 20 |
| Firm change |
| Other |
| F•• S••••••••• C••••••••• | F•••••••• W••• G•••• | Jul 12, 2007 | Oct 27, 2008 | 473 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | P••••••••• A••••••• S••••••• L•• | Dec 9, 2004 | Nov 23, 2004 | -16 | Firm change | Other |
| P••••••••• A••••••• S••••••• L•• | F•• S••••••••• C••••••••• | Dec 6, 2004 | Dec 15, 2004 | 9 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | E•••••••• A•••••••• L•• | Jun 20, 2003 | Aug 26, 2003 | 67 | Firm change | Ibd to ibd |