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Advisor at THE WELLINGTON GRP LLC
INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| THE WELLINGTON GRP LLC | Independent wealth | Nov 15, 2024 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| WELLINGTON WEALTH STRATEGIES, LLC | Former SEC adviser | Jan 6, 2025 | Dec 31, 2025 | no | INDIANAPOLIS, IN | Previous registration |
| WELLINGTON WEALTH STRATEGIES, LLC | Former SEC adviser | Aug 16, 2023 | Dec 31, 2024 | no | INDIANAPOLIS, IN | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Feb 21, 2014 | Aug 11, 2023 | no | INDIANAPOLIS, IN | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 9, 2001 | Feb 25, 2014 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLINGTON WEALTH STRATEGIES, LLC | n/a | Dec 31, 2025 | n/a | n/a | Departure no registered destination | Departure |
| WELLINGTON WEALTH STRATEGIES, LLC | THE WELLINGTON GRP LLC | Dec 31, 2024 | Nov 15, 2024 | -46 | Firm change after gap | RIA to new firm |
| UBS FINANCIAL SERVICES INC. | WELLINGTON WEALTH STRATEGIES, LLC | Aug 11, 2023 | Aug 16, 2023 | 5 | Firm change | Wirehouse to RIA |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Feb 25, 2014 | Feb 21, 2014 | -4 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 306298:332803:IN:2024-12-31 | Dec 31, 2024 | Nov 15, 2024 | INDIANAPOLIS, IN | Firm change after gap |