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Reading the graph
Advisor at DELTA INVESTMENT MANAGEMENT, LLC
San Francisco, 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 |
|---|---|---|---|---|---|---|
| DELTA INVESTMENT MANAGEMENT, LLC | Independent wealth | Mar 7, 2019 | n/a | yes | San Francisco, CA | Current employment |
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | National bd RIA | Jun 29, 2017 | Mar 12, 2019 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | DELTA INVESTMENT MANAGEMENT, LLC | Mar 12, 2019 | Mar 7, 2019 | -5 | Firm change | Ibd to RIA |