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 U•• F•••••••• S••••••• I•••
Bellevue, 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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Aug 30, 2011 | n/a | yes | Bellevue, WA | Current employment |
| F•••••• M••••••••• L•• | Former SEC adviser | Sep 11, 2008 | Aug 23, 2011 | no | SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••• M••••••••• L•• | U•• F•••••••• S••••••• I••• | Aug 23, 2011 | Aug 30, 2011 | 7 | Firm change | Other |
| A••••••• C•••••• M••••••••• L• | F•••••• M••••••••• L•• | Sep 3, 2008 | Sep 11, 2008 |
| A••••••• C•••••• M••••••••• L• |
| n/a |
| Jun 25, 2007 |
| Sep 3, 2008 |
| no |
| SEATTLE, WA |
| Previous registration |
| W•••••• • R••• | Former SEC adviser | Dec 14, 2006 | Mar 2, 2007 | no | BELLEVUE, WA | Previous registration |
| 8 |
| Firm change |
| Other |
| W•••••• • R••• | A••••••• C•••••• M••••••••• L• | Mar 2, 2007 | Jun 25, 2007 | 115 | Firm change | Other |