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Advisor at MORGAN STANLEY
Santa Fe, NM
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 |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | Wirehouse | Jan 17, 2022 | n/a | yes | Santa Fe, NM | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 18, 2017 | Jan 24, 2022 | no | ALBUQUERQUE, NM|SANTA FE, NM | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 22, 2014 | Aug 28, 2017 | no | SANTA FE, NM | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 9, 2011 | Sep 24, 2014 | no | SANTA FE, NM | Previous registration |
| WADDELL & REED | Former SEC adviser | Oct 26, 2010 | Jul 27, 2011 | no | SANTA FE, NM|ALBUQUERQUE, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Jan 24, 2022 | Jan 17, 2022 | -7 | Firm change | Wirehouse to wirehouse |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 28, 2017 | Aug 18, 2017 | -10 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Sep 24, 2014 | Sep 22, 2014 | -2 | Firm change | Wirehouse to wirehouse |
| WADDELL & REED | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jul 27, 2011 | Sep 9, 2011 | 44 | Firm change | Other |