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Advisor at UBS FINANCIAL SERVICES INC.
PASADENA, 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 |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 1, 2011 | n/a | yes | PASADENA, CA | Current employment |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Oct 15, 2010 | Feb 16, 2011 | no | LOS ANGELES, CA|ENCINO, CA|TARZANA, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jan 7, 2010 | Sep 21, 2010 | no | WOODLAND HILLS, CA|PURCHASE, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHASE INVESTMENT SERVICES CORP. | UBS FINANCIAL SERVICES INC. | Feb 16, 2011 | Mar 1, 2011 | 13 | Firm change | Other |
| MORGAN STANLEY | CHASE INVESTMENT SERVICES CORP. | Sep 21, 2010 | Oct 15, 2010 | 24 | Firm change | Other |