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Advisor at J.P. MORGAN SECURITIES LLC
Providence, RI | Newport, RI | Middletown, RI
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 |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | Wirehouse | Jun 29, 2021 | n/a | yes | Newport, RI|Middletown, RI|Providence, RI | Current employment |
| CITIZENS SECURITIES, INC. | Bd affiliated wealth | Aug 12, 2020 | Jun 11, 2021 | no | NEWTON, MA|Hudson, MA|NEWTONVILLE, MA | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Jul 26, 2018 | Jul 31, 2020 | no | WEST WARWICK, RI | Previous registration |
| GWN SECURITIES INC. | Bd affiliated wealth | Feb 13, 2018 | Apr 6, 2018 | no | FALMOUTH, MA|PALM BEACH GARDENS, FL|PALM BEACH GARDENS, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 8, 2014 | May 6, 2014 | no | PROVIDENCE, RI | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 25, 2013 | Mar 5, 2014 | no | Providence, RI | Previous registration |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Nov 29, 2007 | Feb 1, 2008 | no | WAVERLY, IA | Previous registration |
| STRATEGIC ADVISERS LLC | National bd RIA | May 18, 2004 | Apr 22, 2005 | no | WORCESTER, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CITIZENS SECURITIES, INC. | J.P. MORGAN SECURITIES LLC | Jun 11, 2021 | Jun 29, 2021 | 18 | Firm change | Ibd to wirehouse |
| MML INVESTORS SERVICES, LLC | CITIZENS SECURITIES, INC. | Jul 31, 2020 | Aug 12, 2020 | 12 | Firm change | Ibd to ibd |
| GWN SECURITIES INC. | MML INVESTORS SERVICES, LLC | Apr 6, 2018 | Jul 26, 2018 | 111 | Firm change | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | GWN SECURITIES INC. | May 6, 2014 | Feb 13, 2018 | 1,379 | Firm change after gap | Other |
| MORGAN STANLEY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Mar 5, 2014 | Apr 8, 2014 | 34 | Firm change | Wirehouse to wirehouse |
| CUNA BROKERAGE SERVICES, INC. | MORGAN STANLEY | Feb 1, 2008 | Jun 25, 2013 | 1,971 | Firm change after gap | Other |
| STRATEGIC ADVISERS LLC | CUNA BROKERAGE SERVICES, INC. | Apr 22, 2005 | Nov 29, 2007 | 951 | Firm change after gap | Other |