DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
NICHOLS HILLS, OK
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | May 12, 2016 | n/a | yes | NICHOLS HILLS, OK | Current employment |
| F•••• I••••••••• A••••••• S•••••••• I••• | n/a | Apr 21, 2010 | Dec 9, 2016 | no | NICHOLS HILLS, OK|TULSA, OK |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• I••••••••• A••••••• S•••••••• I••• | O•••• W•••••• I••• | Dec 9, 2016 | May 12, 2016 | -211 | Firm change after gap | Other |
| W••••• I••••••••• A•••••••• I•• | F•••• I••••••••• A••••••• S•••••••• I••• | Jul 8, 2013 | Apr 21, 2010 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 132678:23131:OK:2016-12-09 | Dec 9, 2016 | May 12, 2016 | TULSA, OK | Firm change after gap |
| W••••• I••••••••• A•••••••• I•• | Former SEC adviser | Jan 5, 2010 | Jul 8, 2013 | no | EDMOND, OK | Previous registration |
| W••••• I••••••••• A•••••••• I•• | Former SEC adviser | Mar 20, 2006 | Dec 31, 2009 | no | EDMOND, OK | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Apr 7, 2005 | Dec 31, 2006 | no | EDMOND, OK|EDMOND, OK | Previous registration |
| I••••••••• P••••••••• I••• | Former SEC adviser | Aug 4, 2003 | Aug 15, 2003 | no | SPENCER, OK | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 16, 2001 | Jul 15, 2003 | no | OKLAHOMA CITY, OK | Previous registration |
| -1,174 |
| Firm change after gap |
| Other |
| C••••• A•••••• N••••••• L•• | W••••• I••••••••• A•••••••• I•• | Dec 31, 2006 | Mar 20, 2006 | -286 | Firm change after gap | Other |
| I••••••••• P••••••••• I••• | C••••• A•••••• N••••••• L•• | Aug 15, 2003 | Apr 7, 2005 | 601 | Firm change after gap | Other |
| U•• F•••••••• S••••••• I••• | I••••••••• P••••••••• I••• | Jul 15, 2003 | Aug 4, 2003 | 20 | Firm change | Other |