DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at WEDBUSH SECURITIES INC.
NEWPORT BEACH, CA | ROSEVILLE, 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 |
|---|---|---|---|---|---|---|
| WEDBUSH SECURITIES INC. | Bd affiliated wealth | Mar 7, 2007 | n/a | yes | ROSEVILLE, CA|NEWPORT BEACH, CA | Current employment |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Mar 20, 2006 | Mar 16, 2007 | no | ROSEVILLE, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 16, 2005 | Mar 29, 2006 | no | ROSEVILLE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | WEDBUSH SECURITIES INC. | Mar 16, 2007 | Mar 7, 2007 | -9 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | RBC CAPITAL MARKETS, LLC | Mar 29, 2006 | Mar 20, 2006 | -9 | Firm change | Wirehouse to ibd |