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Advisor at MUTUAL ADVISORS, LLC
OMAHA, NE | Pasadena, CA
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 |
|---|---|---|---|---|---|---|
| MUTUAL ADVISORS, LLC | Bd affiliated wealth | Nov 3, 2017 | n/a | yes | Pasadena, CA|OMAHA, NE | Current employment |
| FINANCIAL SECURITY MANAGEMENT, INC | Independent wealth | Feb 23, 2016 | Nov 2, 2017 | no | Pasadena, CA|LAKEWOOD, CO | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Sep 16, 2004 | Nov 8, 2017 | no | PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | FINANCIAL SECURITY MANAGEMENT, INC | Nov 8, 2017 | Feb 23, 2016 | -624 | Firm change after gap | Other |
| FINANCIAL SECURITY MANAGEMENT, INC | MUTUAL ADVISORS, LLC | Nov 2, 2017 | Nov 3, 2017 | 1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:116570:CA:2017-11-08 | Nov 8, 2017 | Feb 23, 2016 | PASADENA, CA | Firm change after gap |
| 116570:167658:CO:2017-11-02 | Nov 2, 2017 | Nov 3, 2017 | LAKEWOOD, CO | Firm change |