DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at SUNBELT SECURITIES
HOUSTON, TX | Houston, TX
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 |
|---|---|---|---|---|---|---|
| SUNBELT SECURITIES | Bd affiliated wealth | Feb 21, 2018 | n/a | yes | HOUSTON, TX|HOUSTON, TX|Houston, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 1, 2009 | Jan 12, 2018 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 28, 2003 | May 20, 2009 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SUNBELT SECURITIES | Jan 12, 2018 | Feb 21, 2018 | 40 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | May 20, 2009 | May 1, 2009 | -19 | Firm change | Wirehouse to wirehouse |