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Reading the graph
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Advisor at O••••••••• S••••••••• I•••
INDIANAPOLIS, IN | New Haven, CT
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••••••••• S••••••••• I••• | Bd affiliated wealth | Feb 12, 2014 | n/a | yes | New Haven, CT|INDIANAPOLIS, IN | Current employment |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Oct 25, 2012 | Feb 13, 2014 | no | SAN DIEGO, CA|LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A••••••• S•••••••• I••• | O••••••••• S••••••••• I••• | Feb 13, 2014 | Feb 12, 2014 | -1 | Firm change | Other |
| O•••••• S••••••• A••••••• C••• | F•••• A••••• A••••••• S•••••••• I••• | Oct 24, 2012 | Oct 25, 2012 |
| O•••••• S••••••• A••••••• C••• | Former SEC adviser | Nov 15, 2007 | Oct 24, 2012 | no | LOS ANGELES, CA|CHICAGO, IL|LOS ANGELES, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Sep 21, 2000 | Sep 24, 2007 | no | LOS ANGELES, CA|LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| 1 |
| Firm change |
| Other |
| E•••••••• A•••••••• L•• | O•••••• S••••••• A••••••• C••• | Sep 24, 2007 | Nov 15, 2007 | 52 | Firm change | Other |