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Advisor at COMMONWEALTH FINANCIAL NETWORK
Oswego, NY
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 |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Sep 16, 2015 | n/a | yes | Oswego, NY | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 29, 2011 | Sep 25, 2015 | no | TUCSON, AZ | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Jul 7, 2011 | no | Tucson, AZ | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | TUCSON, AZ | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Sep 8, 2006 | Apr 2, 2007 | no | TUCSON, AZ|TUCSON, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | COMMONWEALTH FINANCIAL NETWORK | Sep 25, 2015 | Sep 16, 2015 | -9 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Jul 7, 2011 | Jun 29, 2011 | -8 | Firm change | Wirehouse to wirehouse |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |